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to IAS HomePageFrequently Asked Questions
The Oklahoma Inventor's Assistance Service is a state-funded, non-profit office dedicated to helping independent inventors through information, education, and referrals. The IAS was created by a piece of legislation and is funded by OCAST.
The Oklahoma Center
for the Advancement of Science and Technology is the state's only agency
focusing solely on technology - its development, transfer, commercialization and
impact on our state's economy.
Consistent with its statutory missions, over the years OCAST
has strategically implemented programs and initiatives such that it now impacts
the entire "technology development pipeline" from basic research
through commercialization and application.
OCAST currently has funding to operate the following programs:
Oklahoma
Health Research (OHR)
Small
Business Research Assistance (SBRA)
Oklahoma
Applied Research Support Program (OARS)
OARS
R&D Faculty and Student Intern Partnerships
Oklahoma
Alliance for Manufacturing Excellence, Inc.
Oklahoma
Technology Commercialization Center
Oklahoma
Inventor's Assistance Program
Technology
Business Finance Program
A Patent and Trademark Depository Library (PTDL) is a library which is designated by the US Patent and Trademark Office (PTO) to receive and house copies of US patents and patent and trademark materials, to make them available to the public, and to disseminate both patent and trademark information. To be designated, a library must meet specific requirements and promise to fulfill certain obligations.
Patents and trademarks (word marks only) may be searched at the PTDLs. Please note that the Patent and Trademark Depository Librarians cannot give any legal advice nor can they perform the searches for you. They will, however, provide you with the information you need to get started.
There are PTDL's all over the United States. To find one near you, click here.
The IAS assists inventors primarily through information, education, and referrals. The service is free of charge and is available to all inventors.
The Inventor's Assistance Service is state-funded and non-profit. We do not charge fees for our services nor do we take an equity position in your invention. We do, however, charge workshop fees and there is a submittal fee for the Selected Inventions Program.
The SI program is designed to help inventors with a particular step in the invention process. To be eligible for the program, your invention must be nurtured to the point that a cohesive description exists, sketches or drawings exist, and preliminary work has been accomplished addressing such issues manufacturing, materials, safety and health, and other issues which may be unique to the invention. This program is intended to help those inventors who have completed preliminary work in supporting their invention. The program is designed to provide "in kind" services, and is intended to supplement and augment the work of the inventor. The program is not designed to, nor is it intended to, subsidize an inventor by paying for any portion of the invention process. The program is intended to move a Selected Invention through the next step.
In kind services, which will be contracted for, include the following: engineering/technical evaluation; design advice; manufacturing and/or materials counseling; prototyping; and business and marketing plans—in short, help with the step that the inventor identifies as the most troublesome. The IAS will provide the in kind services by contracting with the service provider. The service provider is expected to identify a problem and provide a short written report to the IAS and to the inventor outlining what was done, what service was provided, and what still needs to be accomplished, if anything.
To implement the SI Program the Oklahoma Inventor's Assistance Service has established a Select Committee composed of three permanent members and various technical experts. Those persons are (1) the IAS Director, (2) a permanent representative having expertise in materials & manufacturing, (3) a permanent representative having expertise in marketing & business, and (4) revolving ad hoc experts having technical expertise in a discipline appropriate to the invention(s) being considered. The number of ad hoc experts invited to any meeting will depend upon the diversity of disciplines needed to adequately consider all inventions put before the Committee.
The Committee's purpose is to consider the prospects of inventions that have
been submitted for review since the previous meeting of the Select Committee.
The Committee will identify the invention or inventions, which, in their
collective judgement:
(a) are technically sound, (b) can be manufactured with existing technology, (c)
appear to have market potential, (d) are innovative and/or creative and (e) do
not have obvious safety or health & welfare impacting problems and whose
owners have completed the preliminary work as outlined above. Such inventions
will be identified as "Selected Invention". The Committee may chose
one or more inventions, or it may chose none. Written feedback to the IAS and
the inventor relating to the Committee's evaluation of each invention will be
provided. In the event that an invention was not selected, the evaluation from
Committee will identify those steps that the inventor must take in order to
successfully compete in the SI Program. Inventions may be resubmitted after
completion of the recommended remedial actions.
All inventions that come to the IAS may be submitted for consideration, however, an informal preliminary filter (a checklist/worksheet) that helps to identify the level of readiness that a particular invention has achieved, will be used as a screen to identify those inventions that appear ready to go before the committee. Whether or not to submit the invention for consideration is optional on the part of the inventor. Also, the inventor will have had to complete such preliminary steps as a cohesive description, sketches, drawings or photographs, and preliminary work has been accomplished addressing such issues as manufacturing, materials, safety and health, and all other issues which may be unique to the invention. The inventor will also have to identify the areas of expertise in which he or she needs assistance.
The IAS, in concert with the inventor, will cooperate in determining where the greatest need for assistance lies. The IAS will then contract with a service provider to provide service necessary to move the process forward. The total of all allocations in any fiscal year may not exceed those funds approved for such purpose by OCAST.
It is our sincere desire that the Selected Inventions Program will benefit Oklahoma inventors by helping them over the rough spots. It cannot do the work for the inventor, but the program stands ready to help resolve some of the troublesome spots.
Click here to download an SI application
1. Can a patent be issued on a provisional application?
Ans.: A patent can be issued on a subsequently filed nonprovisional application that claims the benefits of a provisional application filing date. The provisional application, itself, cannot mature into a patent.
2. Can you use a provisional application for a design patent application?
Ans.: No. Provisional applications are not available for design inventions.
3. Can a design application claim priority benefits of a prior provisional application?
Ans.: No, the design sections of the statute preclude the claiming of priority benefits in design patent applications based on prior provisional applications.
4. What are the requirements for filing a provisional application for patent?
Ans.: A written description of the invention, complying with 35 U.S.C. § 112, first paragraph; drawings, complying with 35 U.S.C. § 113; the filing fee; and a cover sheet.
5. What information is required on the cover sheet?
Ans.: The cover sheet must identify the:
(1) application as a provisional application;
(2) name(s) of the inventor(s);
(3) residence of each named inventor (city & state or city & foreign country);
(4) title of the invention;
(5) name and registration number of atty./agent, if applicable;
(6) docket number, if applicable;
(7) correspondence address; and
(8) name of the U.S. government agency and government contract number (if the invention was made by an agency of the U.S. government or under contract with an agency of the U.S. government`.
6. Is there a specific format for the provisional application cover sheet?
Ans.: No. The PTO has a suggested cover sheet which is available on request without charge. However, the cover sheet requirements are content, not format, requirements. Applicants may design their own cover sheets so long as the informational content requirements are satisfied.
7. What is the current filing fee for a provisional application?
Ans.: The current filing fee for a provisional application may be obtained by contacting the Patent and Trademark Office General Information Services Division at (800) PTO-9199 or (703) 308-HELP. The filing fee for a provisional application is subject to a 50: reduction for a small entity who has properly established status as a small entity at the time the filing fee is paid. The filing fee may be paid by personal check made payable to the "Assistant Commissioner for Patents."
8. Does a small entity applicant have to file a small entity statement to pay the small entity filing fee?
Ans.: Yes.
9. Is any particular format required for a provisional application?
Ans.: No. However, applicants should follow generally the format set forth in 37 CFR 1.77 when applicable.
10. Are there any formal requirements for the specification and drawings in the provisional application?
Ans.: Yes. All provisional applications are optically scanned and stored in a secure electronic database. In order to permit scanning, all pages of the specification must be legibly written either by typewriter or mechanical printer in permanent dark ink in portrait orientation. The lines of the specification must be l ~ or double spaced. Each sheet of specification and drawings must be (1) presented on flexible, strong, smooth, non-shiny, durable, and white paper, (2) written on only one side and (3) either 21.0 cm. by 29.7 cm. (DIN size A4) or 8 ~ by 11 inches. Each sheet of specification must include a top, right side and bottom margin of at least 2.0 cm. (3/4 inch) and a left side margin of at least 2.5 cm. (1 inch). Each sheet of the drawings must include a top and left side margin of at least 2.5 cm. (1 inch), a right side margin of at least 1.5 cm. (5/8 inch), and a bottom margin of at least 1.0 cm. (3/8 inch). Photographs must either be developed on double weight photographic paper or be permanently mounted on Bristol board.
11. Does a provisional application require a claim?
Ans.: No. However, claims may be included in a provisional application.
12. Does a provisional application require an oath or declaration of the inventor?
Ans.: No. However, an oath or declaration may be included in a provisional application.
13. Does a provisional application require a power of attorney?
Ans.: No. However, a power of attorney may facilitate access to a provisional application file.
14. Does the description in a provisional application have to comply
with the first paragraph of 35 U.S.C. §'112?
Ans.: Yes. An applicant is entitled to claim benefit of a provisional application only to the extent that a later claimed invention in a nonprovisional application is described in the provisional application in the manner required by 35 U.S.C. § 112, first paragraph.
15. Does the best mode have to be described in a provisional application?
Ans.: Yes, for the reasons set forth above.
16. Will a filing date receipt be issued in a provisional application?
Ans.: Yes.
17. Is a provisional application a regular national filing for the purpose of the Paris Convention?
Ans.: Yes. Foreign filings must be made within twelve months of the filing date of the provisional application. An applicant must file internationally within twelve months of filing a provisional application if the provisional application filing date is to be relied on.
18. Will the PTO grant foreign filing licenses based upon the filing of a provisional application?
Ans.: Yes. Since a provisional application is a regular national filing, it starts the Paris Convention year in order to file applications in foreign countries and obtain the benefit for a prior filing date in the United States. Because the provisional application will form the basis for foreign filings, it will be screened and a foreign filing license issued based thereon.
19. Can a provisional application claim the benefit of the filing date of another application?
Ans.: No, a provisional application cannot claim the benefit of an earlier filed application, either domestic or foreign.
20. Will an examiner review the content of a provisional application?
Ans.: An examiner will review the content of the provisional application only in those situations where it is necessary to determine if a nonprovisional application or a patent claiming benefits of a prior provisional application is actually entitled to the filing date of the provisional application.
21. Can a provisional application be pending for more than a year?
Ans.: No.
22. Will provisional applications become available to the public?
Ans.: By statute, provisional applications are considered abandoned one year after they are filed. Accordingly, they will not, simply as a provisional application, be available to the public. However, in most cases, a nonprovisional application will be filed making reference to the provisional application so that once a patent issues on the nonprovisional application making reference to the provisional application, the provisional application would be available to the public in the same way that any patent application on which an issued patent is based is now available to the public.
23. Can an amendment be made to a provisional application?
Ans.: No. No amendment or submission can be made in a provisional application unless it is in response to an Office requirement. In order to add new material to a provisional application, a second provisional application containing the new material must be filed. Note, the second provisional application cannot rely upon the first but a subsequently filed nonprovisional application may rely, separately, on both provisional applications.
24. Can you rely on a plurality of provisional applications in a subsequent filed nonprovisional application?
Ans.: Yes. However, a claim in the nonprovisional application is entitled to the provisional application filing date only to the extent that the subject matter of the claim is supported in a particular provisional application. Also, the nonprovisional application must be filed within 12 months of the filing date of each provisional application and each provisional application must be pending on the filing date of the nonprovisional application.
25. Can a person filing a provisional application use "patent pending" on a product that is marketed?
Ans.: The provisional application is clearly an application for patent that clearly signifies that the inventor has entered the patent system and has taken a first step to obtaining a patent. However, a provisional application will not be pending after a year from its filing date, so unless the inventor has filed another application, the marking would not be appropriate after a year.
26. How should a provisional application be referred to in a subsequently filed nonprovisional application?
Ans.: All provisional applications will be given application numbers starting with a series code "60," then a six digit number, e.g., "60/123,456." This number and the provisional application filing date will serve to identify the provisional application. The reference to the provisional application may read, "This application claims the benefit of U.S. Provisional Application No. 60/__________ filed on ________ ."
27. What address should be used to file a provisional application by mail?
Ans.: All provisional applications and papers relating thereto should be addressed as follows:
Assistant Commissioner for Patents
Box Provisional Patent Application
Washington, D.C. 20231
28. Will a provisional patent applicant be able to manufacture or sell in the provisional year?
Ans.: Yes, subject, of course, to the patent rights of others.
29. Is the one-year grace period for filing an application after the first public use or sale in the U.S. or the first printed publication describing the invention measured from the provisional application filing date or the nonprovisional application filing date?
Ans.: To the extent that a nonprovisional application is entitled to the benefits of the filing date of a prior provisional application, the grace period is measured from the provisional application filing date.
30. Can provisional applications be assigned? If so, does the subsequent nonprovisional application have to be separately assigned?
Ans.: Yes, a provisional application can be assigned. Separate assignments for the provisional application and subsequently filed nonprovisional application should be submitted if the subsequently filed nonprovisional application includes subject matter not included in the provisional application.
31. Will the filing of a provisional application affect the order of examination of a nonprovisional application that relies on a provisional application? That is, will a nonprovisional application be taken up for examination based upon the nonprovisional application filing date or the provisional application filing date?
Ans.: No. Since the provisional application filing date does not start the patent term, starting examination in a nonprovisional application based on the provisional application filing date would not be fair relative to those applications that do not rely on a provisional application.
l. Q. What do the terms "patent pending" and "patent applied for" mean?
A. They are used by a manufacturer or seller of an article to inform the public that an application for patent on that article is on file in the Patent and Trademark Office. The law imposes a fine on those who use these terms falsely to deceive the public.
2. Q. Is there any danger that the Patent and Trademark Office will give others information contained in my application while it is pending?
A. No. All patent applications are maintained in the strictest confidence until the patent is issued. After the patent is issued, however, the Office file containing the application and all correspondence leading up to issuance of the patent is made available in the Files Information Unit for inspection by anyone and copies of these files may be purchased from the Office.
3. Q. May I write to the Patent and Trademark Office directly about my application after it is filed?
A. The Office will answer an applicant’s inquiries as to the status of the application, and inform you whether your application has been rejected, allowed, or is awaiting action. However, if you have a patent attorney or agent of record in the application file the Office will not correspond with both you and the attorney/agent concerning the merits of your application. All comments concerning your application should be forwarded through your attorney or agent.
4. Q. Is it necessary to go to the Patent and Trademark Office to transact business concerning patent matters?
A. No; most business with the Office is conducted by correspondence. Interviews regarding pending applications can be arranged with examiners if necessary, however, and are often helpful.
5. Q. If two or more persons work together to make an invention, to whom will the patent be granted?
A. If each had a share in the ideas forming the invention, they are joint inventors and a patent will be issued to them jointly on the basis of a proper patent application. If, on the other hand, one of these persons has provided all of the ideas of the invention, and the other has only followed instructions in making it, the person who contributed the ideas is the sole inventor and the patent application and patent shall be in his/her name alone.
6. Q. If one person furnishes all of the ideas to make an invention and another employs him or furnishes the money for building and testing the invention, should the patent application be filed by them jointly?
A. No. The application must be signed by the true inventor, and filed in the Patent and Trademark Office, in the inventors name. This is the person who furnishes the ideas, not the employer or the person who furnishes the money.
7. Q. Does the Patent and Trademark Office control the fees charged by patent attorneys and agents for their services?
A. No. This is a matter between you and your patent attorney or agent in which the Office takes no part. To avoid misunderstanding you may wish to ask for estimate charges for: (a) the search (b) preparation of the patent application, and (c) Patent and Trademark Office prosecution.
8. Q. Will the Patent and Trademark Office help me to select a patent attorney or agent to make my patent search or to prepare and prosecute my patent application?
A. No. The Office cannot make this choice for you. However, your own friends or general attorney may help you in making a selection from among those listed as registered practitioners on the Office roster. Also, some bar associations operate lawyer referral services that maintain lists of patent lawyers available to accept new clients.
9. Q. Will the Patent and Trademark Office advise me as to whether a certain patent promotion organization is reliable and trustworthy?
A. No. The Office has no control over such organizations and does not supply information about them. It is advisable, however, to check on the reputation of invention promotion firms before making any commitments. It is suggested that you obtain this information from the Better Business Bureau of the city in which the organization is located, or from the bureau of commerce and industry or bureau of consumer affairs of the state in which the organization has its place of business. You may also undertake to make sure that you are dealing with reliable people by asking your own patent attorney or agent or by asking others who may know them.
10. Q. Are there any organizations in my area which can tell me how and where I may be able to obtain assistance in developing and marketing my invention?
A. Yes. In your own or neighboring communities you may inquire of such organizations as chambers of commerce, and banks. Many communities have locally financed industrial development organizations which can help you locate manufacturers and individuals who might be interested in promoting your idea.
11. Q. Are there any state government agencies that can help me in developing and marketing of my invention?
A. Yes. In nearly all states there are state planning and development agencies or departments of commerce and industry which seek new product and new process ideas to assist manufacturers and communities in the state. If you do not know the names or addresses of your state organizations you can obtain this information by writing to the governor of your state.
12. Q. Can the Patent and Trademark Office assist me in the developing and marketing of my patent?
A. The Office cannot act or advise concerning the business transactions or arrangements that are involved in the development and marketing of an invention. However, the Office will publish, at the request of a patent owner, a notice in the Official Gazette that the patent is available for licensing or sale. The fee for this is $25.
Where can I get design patent application forms?
http://www.uspto.gov/web/forms/index.html
What are the fees to file a design application?
http://www.uspto.gov/web/offices/ac/qs/ope/fees.htm
What is the new policy on the number of sets of photographs?
http://www.uspto.gov/web/offices/com/sol/og/1998/week23/patphot.htmCan a provisional application can be filed for a design patent?
Since June 8, 1995, the United States Patent and Trademark Office (USPTO) has offered inventors the option of filing a provisional application for patent which was designed to provide a lower-cost first patent filing in the United States. Applicants are entitled to claim the benefit of a provisional application in a corresponding non-provisional application filed not later than 12 months after the provisional application filing date. Under the provisions of 35 U.S.C. § 119(e), the corresponding non-provisional application would benefit in three ways: (1) patentability would be evaluated as though filed on the earlier provisional application filing date, (2) the resulting publication or patent would be treated as a reference under 35 U.S.C. § 102(e) as of the earlier provisional application filing date, and (3) the twenty-year patent term would be measured from the later non-provisional application filing date. Thus, domestic applicants are placed on equal footing with foreign applicants with respect to the patent term. Inventors may file U.S. provisional applications regardless of citizenship. Note that provisional applications cannot claim the benefit of a previously filed application, either foreign or domestic. Note also that 35 U.S.C. § 112 must be complied with as discussed in the paragraph below in order to receive the benefit under 35 U.S.C. § 119(e).The later-filed non-provisional application claiming the benefit of the provisional application must include at least one claim particularly pointing out and distinctly claiming the subject matter, which the applicant regards as the invention. See 35 U.S.C. § 112, 2nd paragraph. Although a claim is not required in a provisional application, the written description and any drawing(s) of the provisional application must adequately support the subject matter claimed in the later-filed non-provisional application in order for the later-filed non-provisional application to benefit from the provisional application filing date. Therefore, care should be taken to ensure that the disclosure filed as the provisional application adequately provides a written description of the full scope of the subject matter regarded as the invention and desired to be claimed in the later filed non-provisional application. There is no requirement that the written description and any drawings filed in a provisional application and a later-filed non-provisional application be identical, however, the later-filed non-provisional application is only entitled to the benefit of the common subject matter disclosed in the corresponding non-provisional application filed not later than 12 months after the provisional application filing date. Additionally the specification shall disclose the manner and process of making and using the invention, in such full, clear, concise and exact terms as to enable any person skilled in the art to which the invention pertains to make and use the invention and set forth the best mode contemplated for carrying out the invention. See 35 U.S.C. § 112, 1st paragraph.
A provisional application for patent is a U. S. national application for patent filed in the USPTO under 35 U.S.C. § 111(b). It allows filing without a formal patent claim, oath or declaration, or any information disclosure (prior art) statement. It provides the means to establish an early effective filing date in a non-provisional patent application filed under 35 U.S.C. § 111(a). It also allows the term "Patent Pending" to be applied.
A provisional application for patent (provisional application) has a pendency lasting 12 months from the date the provisional application is filed. The 12-month pendency period cannot be extended. Therefore, an applicant who files a provisional application must file a corresponding non-provisional application for patent (non-provisional application) during the 12-month pendency period of the provisional application in order to benefit from the earlier filing of the provisional application. In accordance with 35 U.S.C. § 119(e), the corresponding non-provisional application must contain or be amended to contain a specific reference to the provisional application within the time period and in the manner required by 37 CFR 1.78.
Once a provisional application is filed, an alternative to filing a corresponding non-provisional application is to convert the provisional application to a non-provisional application by filing a grantable petition under 37 CFR § 1.53(c)(3) requesting such a conversion within 12 months of the provisional application filing date.
However, converting a provisional application to a non-provisional application (versus filing a non-provisional application claiming the benefit of the provisional application) will have a negative impact on patent term. The term of a patent issuing from a non-provisional application resulting from the conversion of a provisional application will be measured from the original filing date of the provisional application.
By filing a provisional application first, and then filing a corresponding non-provisional application that references the provisional application within the 12-month provisional application pendency period, a patent term endpoint may be extended by as much as 12 months.
Since June 8, 1995, the United States Patent and Trademark Office (USPTO) has offered inventors the option of filing a provisional application for patent which was designed to provide a lower-cost first patent filing in the United States. Applicants are entitled to claim the benefit of a provisional application in a corresponding non-provisional application filed not later than 12 months after the provisional application filing date. Under the provisions of 35 U.S.C. § 119(e), the corresponding non-provisional application would benefit in three ways: (1) patentability would be evaluated as though filed on the earlier provisional application filing date, (2) the resulting publication or patent would be treated as a reference under 35 U.S.C. § 102(e) as of the earlier provisional application filing date, and (3) the twenty-year patent term would be measured from the later non-provisional application filing date. Thus, domestic applicants are placed on equal footing with foreign applicants with respect to the patent term. Inventors may file U.S. provisional applications regardless of citizenship. Note that provisional applications cannot claim the benefit of a previously filed application, either foreign or domestic. Note also that 35 U.S.C. § 112 must be complied with as discussed in the paragraph below in order to receive the benefit under 35 U.S.C. § 119(e).
The later-filed non-provisional application claiming the benefit of the provisional application must include at least one claim particularly pointing out and distinctly claiming the subject matter, which the applicant regards as the invention. See 35 U.S.C. § 112, 2nd paragraph. Although a claim is not required in a provisional application, the written description and any drawing(s) of the provisional application must adequately support the subject matter claimed in the later-filed non-provisional application in order for the later-filed non-provisional application to benefit from the provisional application filing date. Therefore, care should be taken to ensure that the disclosure filed as the provisional application adequately provides a written description of the full scope of the subject matter regarded as the invention and desired to be claimed in the later filed non-provisional application. There is no requirement that the written description and any drawings filed in a provisional application and a later-filed non-provisional application be identical, however, the later-filed non-provisional application is only entitled to the benefit of the common subject matter disclosed in the corresponding non-provisional application filed not later than 12 months after the provisional application filing date. Additionally the specification shall disclose the manner and process of making and using the invention, in such full, clear, concise and exact terms as to enable any person skilled in the art to which the invention pertains to make and use the invention and set forth the best mode contemplated for carrying out the invention. See 35 U.S.C. § 112, 1st paragraph.
A provisional application for patent is a U. S. national application for patent filed in the USPTO under 35 U.S.C. § 111(b). It allows filing without a formal patent claim, oath or declaration, or any information disclosure (prior art) statement. It provides the means to establish an early effective filing date in a non-provisional patent application filed under 35 U.S.C. § 111(a). It also allows the term "Patent Pending" to be applied.
A provisional application for patent (provisional application) has a pendency lasting 12 months from the date the provisional application is filed. The 12-month pendency period cannot be extended. Therefore, an applicant who files a provisional application must file a corresponding non-provisional application for patent (non-provisional application) during the 12-month pendency period of the provisional application in order to benefit from the earlier filing of the provisional application. In accordance with 35 U.S.C. § 119(e), the corresponding non-provisional application must contain or be amended to contain a specific reference to the provisional application within the time period and in the manner required by 37 CFR 1.78.
Once a provisional application is filed, an alternative to filing a corresponding non-provisional application is to convert the provisional application to a non-provisional application by filing a grantable petition under 37 CFR § 1.53(c)(3) requesting such a conversion within 12 months of the provisional application filing date.
However, converting a provisional application to a non-provisional application (versus filing a non-provisional application claiming the benefit of the provisional application) will have a negative impact on patent term. The term of a patent issuing from a non-provisional application resulting from the conversion of a provisional application will be measured from the original filing date of the provisional application.
By filing a provisional application first, and then filing a corresponding non-provisional application that references the provisional application within the 12-month provisional application pendency period, a patent term endpoint may be extended by as much as 12 months.
The remainder of the the FAQs are directly of the a USPTO Publication,
"Guide to Filing a Design Patent"You may download the entire publication by clicking on its title. Following are specific FAQs on design patents.
How do I know if I want a Design vs. a Utility application?
The Difference Between Design and Utility Patents
In general terms, a “utility patent” protects the way an article is used and works (35 U.S.C. 101), while a “design patent” protects the way an article looks (35 U.S.C. 171). Both design and utility patents may be obtained on an article if invention resides both in its utility and ornamental appearance. While utility and design patents afford legally separate protection, the utility and ornamentality of an article are not easily separable. Articles of manufacture may possess both functional and ornamental characteristics.Improper Subject Matter for Design Patents
A design for an article of manufacture that is dictated primarily by the function of the article lacks ornamentality and is not proper statutory subject matter under 35 U.S.C. 171. Similarly, a design for an article of manufacture that is hidden in its end use and whose ornamental appearance is of no commercial concern prior to reaching its end use, lacks ornamentality and is not proper statutory subject matter under 35 U.S.C. 171. In addition, 35 U.S.C. 171 requires that a design to be patentable must be “original”. Clearly a design which simulates a well known, or naturally occurring object or person is not original as required by the statute. Furthermore, subject matter that could be considered offensive to any race, religion, sex, ethnic group, or nationality is not proper subject matter for a Design Patent Application (35 U.S.C. 171 and 37 CFR § 1.3)
Definition of a Design
A design consists of the visual ornamental characteristics embodied in, or applied to, an article of manufacture. Since a design is manifested in appearance, the subject matter of a design patent application may relate to the configuration or shape of an article, to the surface ornamentation applied to an article, or to the combination of configuration and surface ornamentation. A design for surface ornamentation is inseparable from the article to which it is applied and cannot exist alone. It must be a definite pattern of surface ornamentation, applied to an article of manufacture.Types of Designs and Modified Forms
An ornamental design may be embodied in an entire article or only a portion of an article, or may be ornamentation applied to an article. If a design is directed to just surface ornamentation, it must be shown applied to an article in the drawings, and the article must be shown in broken lines, as it forms no part of the claimed design.A design patent application may only have a single claim. 37 CFR § 1.153. Designs that are independent and distinct must be filed in separate applications since they cannot be supported by a single claim. Designs are independent if there is no apparent relationship between two or more articles. For example, a pair of eyeglasses and a door handle are independent articles and must be claimed in separate applications. Designs are considered distinct if they have different shapes and appearances even though they are related articles. For example, two vases having different surface ornamentation creating distinct appearances must be claimed in separate applications. However, modified forms, or embodiments of a single design concept may be filed in one application. For example, vases with only minimal configuration differences may be considered a single design concept and both embodiments may be included in a single application. An example of modified forms appears in Appendix II.
What are the laws applicable to design patents?
The Patent Law provides for the granting of design patents to any person who has invented any new, original and ornamental design for an article of manufacture. A design patent protects only the appearance of the article and not its structural or utilitarian features. The principal statutes (United States Code) governing design patents are:
- 35 U.S.C. 171
- 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) pertaining to the drawing disclosure of a design patent application are:
- 37 CFR § 1.84
- 37 CFR § 1.152
- 37 CFR § 1.121
The following additional rules have been referred to in this guide:
- 37 CFR § 1.3
- 37 CFR § 1.63
- 37 CFR § 1.153
A copy of these laws and rules are included in the Appendix of this guide.
The practice and procedures relating to design patent applications are set forth in chapter 1500 of the Manual of Examining Procedure (MPEP). Inquiries relating to the sale of the MPEP should be directed to the Superintendent of Documents, United States Government Printing Office, Washington, D.C. 20402. Telephone: 202-512-1800.
What are the rules for design patents?
Elements of a Design Patent Application
The elements of a design patent application should include the following:
(1) Preamble, stating name of the applicant, title of the design, and a brief description of the nature and intended use of the article in which the design is embodied; (2) Description of the figure(s) of the drawing; (3) Feature description; (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. See insert for schedule of current fees. If applicant is a small entity, (an independent inventor, a small business concern, or a non-profit organization), the filing fee is reduced by half if the small entity files a Statement Claiming Small Entity Status (PTO/SB/09 - see insert for sample form).
The Preamble
The Preamble, if included should state the name of the applicant, the title of the design, and a brief description of the nature and intended use of the article in which the design is embodied. All information contained in the preamble will be printed on the patent, should the claimed design be deemed patentable.The Title
The Title of the design must identify the article in which the design is embodied by the name generally known and used by the public. Marketing designations are improper as titles and should not be used. A title descriptive of the actual article aids the examiner in developing a complete field of search of the prior art and further aids in the proper assignment of new applications to the appropriate class, subclass, and patent examiner, as well as the proper classification of the patent upon allowance of the application. It also helps the public in understanding the nature and use of the article embodying the design after the patent has been published. Thus, applicants are encouraged to provide a specific and descriptive title.The Figure Descriptions
The Figure Descriptions indicate what each view of the drawings represents, i.e., front elevation, top plan, perspective view, etc.Any description of the design in the specification, other than a brief description of the drawing, is generally not necessary since, as a general rule, the drawing is the design’s best description. However, while not required, a special description is not prohibited.
In addition to the figure descriptions, the following types of statements are permissible in the specification:
- Description of the appearance of portions of the claimed design which are not illustrated in the drawing disclosure (i.e., “the right side elevational view is a mirrorimage of the left side”).
- Description disclaiming portions of the article not shown, that form no part of the claimed design.
- Statement indicating that any broken line illustration of environmental structure in the drawing is not part of the design sought to be patented.
- Description denoting the nature and environmental use of the claimed design, if not included in the preamble.
A Single Claim
A design patent application may only include a single claim. The claim defines the design which applicant wishes to patent, in terms of the article in which it is embodied or applied. The claim must be in formal terms to “The ornamental design for (the article which embodies the design or to which it is applied) as shown.” The description of the article in the claim should be consistent in terminology with the title of the invention.When there is a properly included special description of the design in the specification, or a proper showing of modified forms of the design, or other descriptive matter has been included in the specification, the words “and described” should be added to the claim following the term “shown”, and the claim should read “The ornamental design for (the article which embodies the design or to which it is applied) as shown and described.”
Drawings or Photographs
The drawing disclosure is the most important element of the application. Every design patent application must include either a drawing or a photograph of the claimed design. As the drawing or photograph constitutes the entire visual disclosure of the claim, it is of utmost importance that the drawing or photograph be clear and complete, that nothing regarding the design sought to be patented is left to conjecture. The design drawing or photograph must comply with the disclosure requirements of 35 U.S.C. 112, first paragraph. To meet the disclosure requirements of 35 U.S.C. 112, the drawings or photographs must include a sufficient number of views to constitute a complete disclosure of the appearance of the design claimed.Drawings are normally required to be in black ink on white paper. Photographs, in lieu of drawings, are permitted subject to the requirements of 37 CFR §1.84 and §1.152. Applicant should refer to these rules, included in Appendix II of this guide. These rules set forth in detail the requirements for proper drawings in a design patent application.
The Views
The drawings or photographs should contain a sufficient number of views to completely disclose the appearance of the claimed design, i.e., front, rear, right and left sides, top and bottom. While not required, it is suggested that perspective views be submitted to clearly show the appearance and shape of three dimensional designs. If a perspective view is submitted, the surfaces shown would normally not be required to be illustrated in other views if these surfaces are clearly understood and fully disclosed in the perspective.Views that are merely duplicates of other views of the design or that are merely flat and include no ornamentality may be omitted from the drawing if the specification makes this explicitly clear. For example, if the left and right sides of a design are identical or symmetrical, a view should be provided of one side and a statement made in the drawing description that the other side is identical/symmetrical. If the bottom of the design is flat, a view of the bottom may be omitted if the figure descriptions include a statement that the bottom is flat and unornamented. The term “unornamented” should not be used to describe visible surfaces which include structure that is clearly not flat. In some cases, the claim may be directed to an entire article, but because all sides of the article may not be visible during normal use, it is not necessary to disclose them. A sectional view which more clearly brings out elements of the design is permissible, however a sectional view presented to show functional features, or interior structure not forming part of the claimed design, is neither required, nor permitted.
Surface Shading and Drafting Symbols
The drawing should be provided with appropriate surface shading which shows clearly the character and contour of all surfaces of any 3-dimensional aspects of the design. Surface shading is also necessary to distinguish between any open and solid areas of the design. Solid black surface shading is not permitted except when used to represent the black color as well as color contrast. Lack of appropriate surface shading in the drawing as filed may render the design nonenabling under 35 U.S.C. 112, first paragraph. Additionally, if the shape of the design is not evident from the disclosure as filed, the addition of surface shading after filing may be viewed as new matter. New matter is anything that is added to, or deleted from, the claim, drawings or specification, that was neither shown nor suggested in the original application (see 35 U.S.C. 132 and 37 CFR § 1.121 in Appendix III and IV, respectively).Broken Lines
A broken line disclosure is understood to be for illustrative purposes only and forms no part of the claimed design. Structure that is not part of the claimed design, but is considered necessary to show the environment in which the design is used, may be represented in the drawing by broken lines. This includes any portion of an article in which the design is embodied or applied to that is not considered part of the claimed design.When the claim is directed to just surface ornamentation for an article, the article in which it is embodied must be shown in broken lines.
In general, when broken lines are used, they should not intrude upon or cross the showing of the claimed design and should not be of heavier weight than the lines used in depicting the claimed design. Where a broken line showing of environmental structure must necessarily cross or intrude upon the representation of the claimed design and obscures a clear understanding of the design, such an illustration should be included as a separate figure, in addition to the other figures which fully disclose the subject matter of the design.
Photographs
The Office will accept high quality black and white photographs in design patent applications only after the granting of a petition filed under 37 CFR §1.84(b)(1) requesting that photographs be accepted. Petitions to accept photographs as drawings will be considered by the Primary Patent Examiner and will be granted if the requirements of 37 CFR § 1.84(b) are complied with. That is, the appropriate fee set forth in 37 CFR § 1.17(h) has been included and the three sets of photographs required under 37 CFR §1.84(b)(1)(ii) have been included. If other provisions of 37 CFR §1.84(b) for photographs have not been complied with (e.g., the photographs are not on double weight photographic paper, are not properly mounted, or details are not adequately reproducible), such lack of compliance will not bar the grant of a petition to accept the photographs but rather will form the basis of subsequent objection to the quality of the photographic disclosure. If the details, appearance and shape of all the features and portions of the design are not clearly disclosed in the photographs, this also will not be a bar to the grant of a petition to accept the photographs but would form the basis of a rejection of the claim under 35 U.S.C. 112, first paragraph as nonenabling.Photographs submitted on double weight photographic paper must have the drawing figure number entered on the face of the photograph. Photographs mounted on Bristol board may have the figure number shown in black ink on the Bristol board proximate the corresponding photograph.
Photographs and ink drawings must not be combined in a formal submission of the visual disclosure of the claimed design in one application. The introduction of both photographs and ink drawings in a design application would result in a high probability of inconsistencies between corresponding elements on the ink drawings as compared with the photographs. Photographs submitted in lieu of ink drawings must not disclose environmental structure but must be limited to the claimed design itself.
Color drawings and color photographs will be accepted as formal drawings in design applications as long as they meet the requirements set forth in 37 CFR § 1.84(a)(2).
If color photographs are submitted as informal drawings and the applicant does not consider the color to be part of the claimed design, a disclaimer must be added to the specification as follows: “The color shown on the claimed design forms no part thereof.” Color will be considered an integral part of the disclosed and claimed design in the absence of a disclaimer filed with the original application. If no disclaimer has been included, the omission of color in the later filed formal drawings will be treated as introducing new matter into the claim, 35 U.S.C. 132. A disclaimer may only be used when filing informal drawings as 37 CFR § 1.152(a)(2) requires that the disclosure in formal photographs be limited to the design for the article claimed.
The Oath or Declaration
The oath or declaration required of the applicant must comply with the requirements set forth in 37 CFR §1.63 (see insert for sample declaration form and see Appendix IV for a copy of the rule).So that the applicant will better understand what constitutes a complete disclosure, examples of drawing disclosures and their accompanying specifications are provided on the following pages.
Copyright, a form of intellectual property law, protects original works of authorship including literary, dramatic, musical, and artistic works such as poetry, novels, movies, songs, computer software and architecture. Copyright does not protect facts, ideas, systems, or methods of operation, although it may protect the way these things are expressed. See Circular 1, section What Works Are Protected.
Your work is under copyright protection the moment it is created and fixed in a tangible form so that it is perceptible either directly or with the aid of a machine or device.
The Public Information Office telephone number is (202) 707-3000. To order application forms, the number is (202) 707-9100. TTY is (202) 707-6737.
Our mailing address is Copyright Office, Library of Congress, 101 Independence Avenue, S.E.,Washington, D.C. 20559-6000.
The Copyright Office is located at 101 Independence Avenue, S.E., Washington, D.C., in the James Madison Memorial Building, Room LM-401, of the Library of Congress. Hours of service are 8:30 a.m. to 5:00 p.m. eastern time, Monday through Friday, except Federal holidays. The nearest Metro stop is Capitol South.
You may get forms from the U.S. Copyright Office in person, by mailing in a request, or by calling our 24-hours-per-day forms hotline: (202) 707-9100. Some public libraries may carry our forms but we do not maintain a list of those libraries. Forms may also be downloaded from our website.
The time the Copyright Office requires to process an application varies, depending on the amount of material the Office is receiving. You may generally expect a certificate of registration within approximately 8 months of submission .
Contact the Certifications and Documents Section of the Copyright Office (202) 707-6787 or see Circular 6 for details.
The Copyright Office will not honor a request for a copy of someone else's work without written authorization from the owner or from his or her designated agent if that work is still under copyright protection, unless the work is involved in litigation. Written permission from the copyright owner or a litigation statement is required before copies can be made available. A certificate of registration for any registered work can be obtained for a fee of $25. Circular 6 provides additional information.
Yes, we can produce additional certificates for a fee of $25. See Circular 6 for details on how to make such a request.
No, we neither compile nor maintain such a list. A search of our records, however, may reveal whether a particular work has fallen into the public domain. We will conduct a search of our records by the title of a work, an author's name, or a claimant's name. The search fee is $65 per hour. You may also search the records in person without paying a fee.
Copies of all works under copyright protection that have been published in the United States are required to be deposited with the Copyright Office within three months of the date of first publication. See Circular 7d and the Deposit Regulation 96 202.19.
No. In general, registration is voluntary. Copyright exists from the moment the work is created. You will have to register, however, if you wish to bring a lawsuit for infringement of a U.S. work. See Circular 1, section Copyright Registration.
Registration is recommended for a number of reasons. Many choose to register their works because they wish to have the facts of their copyright on the public record and have a certificate of registration. Registered works may be eligible for statutory damages and attorney's fees in successful litigation. Finally, if registration occurs within five years of publication, it is considered prima facie evidence in a court of law. See Circular 1, section Copyright Registration and Circular 38b on non-U.S. works.
Although copyright application forms may be available in public libraries and some reference books, the U.S. Copyright Office is the only office that can accept applications and issue registrations.
To register a work, you need to submit a completed application form, a non-refundable filing fee of $30, and a non-returnable copy or copies of the work to be registered. See Circular 1, section Registration Procedures.
The time the Copyright Office requires to process an application varies, depending on the amount of material the Office is receiving. You may generally expect a certificate of registration within approximately 8 months of submission .
The current filing fee is $30 per application. Generally, each work requires a separate application. See Circular 4.
Yes, you can make copies of copyright forms if they meet the following criteria: photocopied back to back and head to head on a single sheet of 8 1/2 by 11 inch white paper. In other words, your copy must look just like the original.
A deposit is usually one copy (if unpublished) or two copies (if published) of the work to be registered for copyright. In certain cases such as works of the visual arts, identifying material such as a photograph may be used instead. See Circular 40a. The deposit is sent with the application and fee and becomes the property of the Library of Congress.
If you want to know when the Copyright Office receives your material, you should send it by registered or certified mail and request a return receipt from the post office. Allow at least five weeks for the return of your receipt.
Copyright registration is effective on the day we receive the appropriate form, copy or copies of the work, and the $30 filing fee. The time the Copyright Office requires to process an application varies, depending on the amount of material the Office is receiving. You may generally expect a certificate of registration within approximately 8 months of submission . In the event we need further information, a letter or telephone call from our office, will be received during this time period. We are not able to provide status information for submissions that were received less than eight months ago. If it is imperative that you have this information sooner, you may pay the appropriate fees and request that the Certifications and Documents Section conduct an in-process search. The current in-process search fee is $65 per hour.
Yes, you must send the required copy or copies of the work to be registered. These copies will not be returned. Upon their deposit in the Copyright Office, under sections 407 and 408 of the Copyright law, all copies, phonorecords, and identifying material, including those deposited in connection with claims that have been refused registration, are the property of the United States Government.
You may register unpublished works as a collection on one application with one title for the entire collection if certain conditions are met. It is not necessary to list the individual titles in your collection, although you may do so by completing a Continuation Sheet. Published works may only be registered as a collection if they were actually first published as a collection and if other requirements have been met. See Circular 1, section Registration Procedures.
These forms are for registering two different types of copyrightable subject matter that may be embodied in a recording. Form PA is used for the registration of music and/or lyrics (as well as other works of the performing arts), even if your song is on a cassette. Form SR is used for registering the performance and production of a particular recording of sounds. See Circular 50 and Circular 56a.
No. Works created on or after January 1, 1978, are not subject to renewal registration (see Circular 15). As to works published or registered prior to January 1, 1978, renewal registration is optional after 28 years but does provide certain legal advantages. For information on how to file a renewal application as well as the legal benefit for doing so, see Circular 15 and Circular 15a.
No. There are many different software formats and the Copyright Office does not have the equipment to accommodate all of them. Therefore, the Copyright Office still generally requires a printed copy or audio recording of the work for deposit.
Yes, you may. The deposit requirement consists of the best edition of the CD-ROM package of any work, including the accompanying operating software, instruction manual and a printed version, if included in the package. See Circular 55.
A mere listing of ingredients is not protected under copyright law. However, where a recipe or formula is accompanied by substantial literary expression in the form of an explanation or directions, or when there is a collection of recipes as in a cookbook, there may be a basis for copyright protection. See FL 122.
Yes. Architectural works became subject to copyright protection on December 1, 1990. The copyright law defines "architectural work" as "the design of a building embodied in any tangible medium of expression, including a building, architectural plans, or drawings." Copyright protection extends to any architectural work created on or after December 1, 1990, and any architectural work that on December 1, 1990, was unconstructed and embodied in unpublished plans or drawings. Architectural works embodied in buildings constructed prior to December 1, 1990, are not eligible for copyright protection. See, Circular 41.
You can register copyright in the diary only if you are the transferee (by will, by inheritance). Copyright is the right of the author of the work or the author's heirs or assignees, not of the one who only owns or possesses the physical work itself. See Circular 1, section Who Can Claim Copyright.
Our only requirement is that all three elements, the application, the copy or copies of the work, and the $30 filing fee, be sent in the same package. Many people send their material to us by certified mail, with a return receipt request, but this is not necessary.
Any work that is protected by U.S. copyright law can be registered. This includes many works of foreign origin. All works that are unpublished, regardless of the nationality of the author, are protected in the United States. Works that are first published in the United States or in a country with which we have a copyright treaty or that are created by a citizen or domiciliary of a country with which we have a copyright treaty are also protected and may therefore be registered with the U.S. Copyright Office. See Circular 38a for the status of specific countries.
Under the copyright law, the creator of the original expression in a work is its author. The author is also the owner of copyright unless there is a written agreement by which the author assigns the copyright to another person or entity, such as a publisher. In cases of works made for hire (see Circular 9), the employer or commissioning party is considered to be the author.
Although the general rule is that the person who creates the work is its author, there is an exception to that principle; the exception is a work made for hire, which is a work prepared by an employee within the scope of his or her employment; or a work specially ordered or commissioned in certain specified circumstances. When a work qualifies as a work made for hire, the employer or commissioning party is considered to be the author. See Circular 9.
Minors may claim copyright, and the Copyright Office does issue registrations to minors, but state laws may regulate the business dealings involving copyrights owned by minors. For information on relevant state laws, consult an attorney.
There is no legal requirement that the author be identified by his or her real name on the application form. For further information, see FL 101. If filing under a fictitious name, check the "Pseudonymous" box at space 2.
Publication has a technical meaning in copyright law. According to the statute, "Publication is the distribution of copies or phonorecords of a work to the public by sale or other transfer of ownership, or by rental, lease, or lending. The offering to distribute copies or phonorecords to a group of persons for purposes of further distribution, public performance, or public display constitutes publication. A public performance or display of a work does not of itself constitute publication." Generally, publication occurs on the date on which copies of the work are first made available to the public. For further information see Circular 1, section Publication.
Publication is not necessary for copyright protection.
Publication occurs at the discretion and initiative of the copyright owner. The Copyright Office has no role in the publication process.
Yes. Like any other property, all or part of the rights in a work may be transferred by the owner to another. See Circular 1, section Transfer of Copyright, for a discussion of ownership.
There are no forms provided by the Copyright Office to effect a copyright transfer. The Office does, however, keep records of transfers if they are submitted to us. If you have executed a transfer and wish to record it, the Copyright Office can provide a Document Cover Sheet, which can help to expedite the processing of the recordation. See Circular 12.
No. Names are not protected by copyright law. Some names may be protected under trademark law. Contact the U.S. Patent & Trademark Office, (800) 786-9199, for further information.
Copyright does not protect names, titles, slogans, or short phrases. In some cases, these things may be protected as trademarks. Contact the U.S. Patent & Trademark Office at (800) 786-9199 for further information. However, copyright protection may be available for logo art work that contains sufficient authorship. In some circumstances, an artistic logo may also be protected as a trademark.
Copyright does not protect ideas, concepts, systems, or methods of doing something. You may express your ideas in writing or drawings and claim copyright in your description, but be aware that copyright will not protect the idea itself as revealed in your written or artistic work.
The Sonny Bono Copyright Term Extension Act, signed into law on October 27, 1998, amends the provisions concerning duration of copyright protection. Effective immediately, the terms of copyright are generally extended for an additional 20 years. Specific provisions are as follows:
* For works created after January 1, 1978, copyright protection will endure for the life of the author plus an additional 70 years. In the case of a joint work, the term lasts for 70 years after the last surviving author’s death. For anonymous and pseudonymous works and works made for hire, the term will be 95 years from the year of first publication or 120 years from the year of creation, whichever expires first;
* For works created but not published or registered before January 1, 1978, the term endures for life of the author plus 70 years, but in no case will expire earlier than December 31, 2002. If the work is published before December 31, 2002, the term will not expire before December 31, 2047;
* For pre-1978 works still in their original or renewal term of copyright, the total term is extended to 95 years from the date that copyright was originally secured. For further information see Circular 15a.
Under the fair use doctrine of the U.S. copyright statute, it is permissible to use limited portions of a work including quotes, for purposes such as commentary, criticism, news reporting, and scholarly reports. There are no legal rules permitting the use of a specific number of words, a certain number of musical notes, or percentages of a work. Whether a particular use qualifies as fair use depends on all the circumstances. See Circular 21 and FL 102.
You may make a new claim in your work if the changes are substantial and creative -- something more than just editorial changes or minor changes. This would qualify as a new derivative work. For instance, simply making spelling corrections throughout a work does not warrant a new registration -- adding an additional chapter would. See Circular 14 for further information.
Only the owner of copyright in a work has the right to prepare, or to authorize someone else to create a new version of that work. Accordingly, you cannot claim copyright to another's work, no matter how much you change it, unless you have the owner's consent. See Circular 14.
Copies of works deposited for copyright registration or in fulfillment of the mandatory deposit requirement are available to the Library of Congress for its collections. The Library reserves the right to select or reject any published work for its permanent collections based on the research needs of Congress, the nation's scholars, and of the nation's libraries. If you would like further information on the Library's selection policies, you may contact: Library of Congress, Collections Policy Office, 101 Independence Avenue, S.E., Washington, D.C. 20540.
The Library of Congress Card Catalog Number is assigned by the Library at its discretion to assist librarians in acquiring and cataloging works. For further information call the Cataloging in Publication Division at (202) 707-6345.
The International Standard Book Number is administered by the R. R. Bowker Company 1-888-BOWKER2. The ISBN is a numerical identifier intended to assist the international community in identifying and ordering certain publications.
A copyright notice is an identifier placed on copies of the work to inform the world of copyright ownership. While use of a copyright notice was once required as a condition of copyright protection, it is now optional. Use of the notice is the responsibility of the copyright owner and does not require advance permission from, or registration with, the Copyright Office. See Circular 3, Copyright Notice for requirements for works published before March 1, 1989 and for more information on the form and position of the copyright notice.
The collection of royalties is usually a matter of private arrangements between an author and publisher or other users of the author's work. The Copyright Office plays no role in the execution of contractual terms or business practices. There are copyright licensing organizations and publications rights clearinghouses that distribute royalties for their members.
A party may seek to protect his or her copyrights against unauthorized use by filing a civil lawsuit in Federal district court. If you believe that your copyright has been infringed, consult an attorney. In cases of willful infringement for profit, the U.S. Attorney may initiate a criminal investigation.
The United States has copyright relations with more than 100 countries throughout the world, and as a result of these agreements, we honor each other's citizens' copyrights. However, the United States does not have such copyright relationships with every country. For a listing of countries and the nature of their copyright relations with the United States, see Circular 38a, International Copyright Relations of the United States .
The Copyright Office does not maintain a mailing list. The Copyright Office sends periodic e-mail messages via NewsNet, a free electronic mailing list. Important announcements and new or changed regulations and the like are published in the Federal Register. Most will also appear on the Copyright Office website on the Internet.
Copyright law does not protect sightings. However, copyright law will protect your photo (or other depiction) of your sighting of Elvis. Just send it to us with a form VA application and the $30 filing fee. No one can lawfully use your photo of your sighting, although someone else may file his own photo of his sighting. Copyright law protects the original photograph, not the subject of the photograph.
You can ask for it. If you know who the copyright owner is, you may contact the owner directly. If you are not certain about the ownership or have other related questions, you may wish to request that the Copyright Office conduct a search of its records for a fee of $65 per hour. Additional information can be found in Circular 22.
If you use a copyrighted work without authorization, the owner may be entitled to bring an infringement action against you. There are circumstances under the fair use doctrine where a quote or a sample may be used without permission. However, in cases of doubt, the Copyright Office recommends that permission be obtained.
What is a trademark?
A trademark includes any word, name, symbol, or device, or any combination, used, or intended to be used, in commerce to identify and distinguish the goods of one manufacturer or seller from goods manufactured or sold by others, and to indicate the source of the goods. In short, a trademark is a brand name.
What is a service mark?
A service mark is any word, name, symbol, device, or any combination, used, or intended to be used, in commerce, to identify and distinguish the services of one provider from services provided by others, and to indicate the source of the services
What is a certification mark?
A certification mark is any word, name, symbol, device, or any combination, used, or intended to be used, in commerce with the owner’s permission by someone other than its owner, to certify regional or other geographic origin, material, mode of manufacture, quality, accuracy, or other characteristics of someone's goods or services, or that the work or labor on the goods or services was performed by members of a union or other organization.
What is a collective mark?
A collective mark is a trademark or service mark used, or intended to be used, in commerce, by the members of a cooperative, an association, or other collective group or organization, including a mark which indicates membership in a union, an association, or other organization.
Do I need to register my trademark?
No. However, federal registration has several advantages including notice to the public of the registrant's claim of ownership of the mark, a legal presumption of ownership nationwide, and the exclusive right to use the mark on or in connection with the goods or services set forth in the registration.
What are the benefits of federal trademark registration?
1. Constructive notice nationwide of the trademark owner's claim.
2.
Evidence of ownership of the trademark.
3. Jurisdiction of federal courts
may be invoked.
4. Registration can be used as a basis for obtaining
registration in foreign countries.
5. Registration may be filed with U.S.
Customs Service to prevent importation of infringing foreign goods.
Do I have to be a U.S. citizen to obtain a federal registration?
No. However, an applicant's citizenship must be set forth in the record. If an applicant is not a citizen of any country, then a statement to that effect is sufficient. If an applicant has dual citizenship, then the applicant must choose which citizenship will be printed in the Official Gazette and on the certificate of registration.
Where can I find trademark forms?
You may access the trademark forms, plus information about applying for a trademark, by clicking Basic Facts About Trademarks. The forms may be downloaded, filled out and mailed in. You may also use TEAS - the Trademark Electronic Application System. TEAS allows you to fill out an application form and check it for completeness over the Internet. Using e-TEAS you can then submit the application directly to the USPTO over the Internet, paying by credit card or through an existing USPTO deposit account. Or using PrinTEAS, you can print out the completed application for mailing to the USPTO, paying by check or money order or through an existing USPTO deposit account (credit cards currently are not accepted for paper filings). It's your choice! Both e-TEAS and PrinTEAS are available from http://teas.uspto.gov/indexTLT.html. You may also contact the Trademark Assistance Center at 1-800-786-9199 for a hard copy of the Basic Facts brochure. If you live in Northern Virginia, the number is (703) 308-9000.
Where can I get basic trademark information?
You may access the trademark forms, plus information about applying for a trademark, by clicking Basic Facts About Trademarks. The forms may be downloaded, filled out and mailed in. You may also use TEAS - the Trademark Electronic Application System - to fill out an application form and check it for completeness over the Internet. If you need answers to specific trademark questions or want to know more about trademarks in general, please contact the Trademark Assistance Center at 1-800-786-9199. If you live in Northern Virginia, the number is (703) 308-9000. If you need answers to specific patent questions or want to know more about patents in general, please contact the Patent Assistance Center at 1-800-786-9199. If you live in Northern Virginia, the number is (703) 308-4357.
Where can I ask a question about trademarks?
If you need answers to specific trademark questions or want to know more about trademarks in general, please contact the Trademark Assistance Center at 1-800-786-9199. If you live in Northern Virginia, the number is (703) 308-9000. If you need answers to specific patent questions or want to know more about patents in general, please contact the Patent Assistance Center at 1-800-786-9199. If you live in Northern Virginia, the number is (703) 308-4357.
Are there federal regulations governing the use of the designations "TM" or "SM" with trademarks?
No. Use of the symbols "TM" or "SM" (for trademark and service mark, respectively) may, however, be governed by local, state, or foreign laws and the laws of the pertinent jurisdiction must be consulted. These designations usually indicate that a party claims rights in the mark and are often used before a federal registration is issued.
When is it proper to use the federal registration symbol (the letter R enclosed within a circle -- ® -- with the mark.
The federal registration symbol may be used once the mark is actually registered in the U.S. Patent and Trademark Office. Even though an application is pending, the registration symbol may not be used before the mark has actually become registered. The federal registration symbol should only be used on goods or services that are the subject of the federal trademark registration. [Note: Several foreign countries use the letter R enclosed within a circle to indicate that a mark is registered in that country. Use of the symbol by the holder of a foreign registration may be proper.]
Do I need an attorney to file a trademark application?
No, although it may be desirable to employ an attorney who is familiar with trademark matters. You may access the trademark forms, plus information about applying for a trademark, by clicking Basic Facts About Trademarks. The forms may be downloaded, filled out and mailed in. Or, by clicking PrinTEAS, you can fill out, validate and print trademark and service mark applications via the PTO web site. Many applicants find it beneficial to search a mark (to see if there are any registered, pending, or previously used marks) before filing a trademark application. You can search our trademark database on the World-Wide Web at. http://tess.uspto.gov/bin/gate.exe?f=login&p_lang=english&p_d=trmk. Word marks (marks consisting only of words) may be searched at one of the many Patent and Trademark Depository Libraries (PTDLs) located throughout the United States. For a listing of these locations, please click here PTDLs. You must actually go to the library itself and perform the search yourself. However, the Patent and Trademark Depository Librarians are extremely helpful in getting you started. Searches can also be performed at the Patent and Trademark Office at 2900 Crystal Drive, 2nd Floor, Arlington, Virginia. If you need to locate an attorney specializing in trademark law, local bar associations and the Yellow Pages usually have attorney listings broken down by specialties.
What constitutes interstate commerce?
For goods, "Interstate commerce" involves sending the goods across state lines with the mark displayed on the goods or the packaging for the goods. With services, "interstate commerce" involves offering a service to those in another state or rendering a service which affects interstate commerce (e.g. restaurants, gas stations, hotels, etc.).
How do I find out whether a mark is already registered?
In order to determine whether any person or company is using a particular trademark, a trademark search can be conducted. Searches can be performed at our offices at 2900 Crystal Drive, 2nd Floor, Arlington, Virginia. Also, word marks may be searched at over 70 Patent and Trademark Depository Libraries located throughout the country. For a listing of these locations, please click PTDL.
Is a federal registration valid outside the United States?
No. Certain countries, however, do recognize a United States registration as a basis for registering the mark in those countries. Many countries maintain a register of trademarks. The laws of each country regarding registration must be consulted.
Is it advisable to conduct a search of the Office records before filing an application?
Yes. The Patent and Trademark Office (PTO) Public Search Library for trademarks is located at 2900 Crystal Drive, 2nd Floor, Arlington, Virginia 22202. The Public Search Library is open between 8:00 a.m. and 5:30 p.m. Use of the Public Search Library is free to the public. Also, certain information may be searched at a Patent and Trademark Depository Library. For locations, click PTDL. These libraries have CD-ROMS containing the database of registered and pending marks. (However, the CD-ROMS do not contain images of the design marks.)
Can the Office conduct a search for an applicant?
No. After a trademark application is filed, the Patent and Trademark Office (PTO) will conduct a search of the records as part of the official examination process. The official search is not done for the applicant but rather to determine whether the mark applied for can be registered. It is advisable to search the records before filing the application. A search may be conducted on the World-Wide Web at http://tess.uspto.gov/bin/gate.exe?f=login&p_lang=english&p_d=trmk, or by visiting the Trademark Public Search Library, between 8:00 a.m. and 5:30 p.m. at 2900 Crystal Drive, 2nd Floor, Arlington, Virginia 22202. Use of the Public Search Library is free to the public. Also, certain information may be searched at a Patent and Trademark Depository Library. For locations, click PTDL. These libraries have CD-ROMS containing the database of registered and pending marks. (However, the CD-ROMS do not contain images of the design marks.)
Can trademarks be searched on-line?
We now offer on-line searching of our trademark database, at http://tess.uspto.gov/bin/gate.exe?f=login&p_lang=english&p_d=trmk.
Where can I conduct a trademark search?
Searches may be conducted on-line at http://tess.uspto.gov/bin/gate.exe?f=login&p_lang=english&p_d=trmk, or by visiting the Trademark Public Search Library, between 8:00 a.m. and 5:30 p.m. at 2900 Crystal Drive, 2nd Floor, Arlington, Virginia 22202. Use of the Public Search Library is free to the public. Also, certain information may be searched at a Patent and Trademark Depository Library. For locations, click PTDL. These libraries have CD-ROMS containing the database of registered and pending marks. (However, the CD-ROMS do not contain images of the design marks.)
What are common law rights?
Federal registration is not required to establish rights in a trademark. Common law rights arise from actual use of a mark. Generally, the first to either use a mark in commerce or file an intent to use application with the Patent and Trademark Office has the ultimate right to use and registration. However, there are many benefits of federal trademark registration.
What is a common law search? How can I do one? Is doing a common law search necessary?
A common law search involves searching records other than the federal register and pending application records. It may involve checking phone directories, yellow pages, industrial directories, state trademark registers, among others, in an effort to determine if a particular mark is used by others when they have not filed for a federal trademark registration. A common law search is not necessary but some find it beneficial. Telephone numbers for search firms that perform these searches for a fee can be found in the yellow pages of local phone directories and through an Internet search.
In searching the trademark data base on the Web there are records that appear to be a registrations but the registration numbers are shown as 0000000. Is this an error?
No, this is not an error. The registration number 0000000 is associated with PTO records that have serial numbers that begin with "89-". The prefix "89-" is assigned to material that the PTO is obligated to protect either by law or treaty. However, since this material is not actually registered under the Trademark Act, it is not issued a registration number.
There are two types of material that are assigned "89-" serial numbers. One type is material that is used by U.S. federal agencies that should not be registered as trademarks unless the agencies themselves are filing the trademark applications. The second type is material we are obligated to protect under various international treaties. The entities holding this material may be international organizations or foreign governments. These filings are not assigned registration numbers because the "89-" materials are not "registered"; they are only deposited in the PTO for reference and informational purposes. During the PTO examination of pending applications, the "89-" material will be referenced as a bar to the registration of a mark undergoing examination if it is determined that the mark in the application creates a false association with entity holding the "89-" material [15 U.S.C. 1052(a)] or if the "89-" material is the official flag, coat of arms or other insignia of a country or other political entity [15 U.S.C. 1052(b)].
How do I obtain a federal trademark registration?
A registration may be applied for by filing a properly executed application with the Patent and Trademark Office (PTO). The application, and any accompanying communications, should be addressed to "Assistant Commissioner for Trademarks, Box New App/Fee, 2900 Crystal Drive, Arlington, VA 22202-3513." You may access the trademark forms, plus information about applying for a trademark, by clicking Basic Facts About Trademarks. The forms may be downloaded, filled out and mailed in. Or, by clicking PrinTEAS, you can fill out, validate and print trademark and service mark applications via the PTO web site.
Who may file an application?
Only the owner of the trademark may file an application for its registration. An application filed by a person who is not the owner of the mark will be declared void. Generally, the person who uses or controls the use of the mark, and controls the nature and quality of the goods to which it is affixed, or the services for which it is used, is the owner of the mark.
Do I have to use the application form provided by the Office?
No, but the format used must comply with all Patent and Trademark Office (PTO) requirements. The prepared PTO form is provided as a convenience. The PTO recommends use of the form to avoid the omission of important information.
Can a fax copy or photocopy of an application be filed?
Yes. However, there is no provision for filing an application by means of facsimile transmission, i.e., by "faxing" it to the Office. Applications, whether originals or copies, must be filed either by hand or by mail. A faxed copy can be submitted either by U.S. mail or hand delivery.
Can I fax in my application?
There is no provision for filing an application by means of facsimile transmission, i.e., by "faxing" it to the Office. Applications, whether originals or copies, must be filed either by hand or by mail. A faxed copy can be submitted either by U.S. mail or hand delivery.
What is a specimen?
A specimen is a real-world example of how the mark is actually used on the goods or in the offer of services. Labels, tags, or containers for the goods are considered to be acceptable specimens of use for a trademark. For a service mark, specimens may be advertising such as magazine advertisements or brochures. Actual specimens, rather than facsimiles, are preferred. However, if the actual specimens are bulky, or larger than 8½" x 11", then the applicant must submit facsimiles, (e.g., photographs or good photocopies) of the specimens. Facsimiles may not exceed 8½" x 11". ONE SPECIMEN IS REQUIRED FOR EACH CLASS OF GOODS OR SERVICES SPECIFIED IN THE APPLICATION.
Specimens are required in applications based on actual use in commerce, Section 1(a), 15 U.S.C. §1051(a), and must be filed with the Amendment to Allege Use, 15 U.S.C. §1051(c) , or the Statement of Use, 15 U.S.C. §1051(d), in applications based on a bona fide intention to use the mark in commerce, Section 1(b), 15 U.S.C. §1051(b). Specimens are not required for applications based on Section 44 of the Trademark Act (for owners of foreign trademark applications and registrations), 15 U.S.C. §1126.
What is the drawing?
The "drawing" is a page which depicts the mark applicant seeks to register. In an application based on actual use, Section 1(a), 15 U.S.C. §1051(a), the drawing must show the mark as it is actually used, i.e., as shown by the specimens. In the case of an application based on a bona fide intention to use, Section 1(b), 15 U.S.C. §1051(b), the drawing must show the mark as the applicant intends to use it. In an application based on a foreign application or foreign registration, Sections 44(d) or 44(e), 15 U.S.C. §§1126(d) and (e), the drawing must depict the mark as it appears or will appear on the foreign registration. The applicant cannot register more than one mark in a single application. Therefore, the drawing must display only one mark.
If an applicant submits specimens, is a drawing still required?
Yes. A drawing is required in all applications, and is used by the Office for several purposes, including printing the mark in the Official Gazette, and ultimately, on the registration certificate itself. Specimens, on the other hand, are required as evidence that a mark is in actual use in commerce.
Do I need an attorney to file my application?
No, but an applicant is responsible for observing and complying with all substantive and procedural issues and requirements whether or not represented by an attorney. The Patent and Trademark Office (PTO) cannot select an attorney for an applicant. The names of attorneys who specialize in trademark law may be found in the telephone yellow pages, or by contacting a local bar association.
On what bases can a foreign applicant file an application for registration?
1. Use in interstate commerce or commerce between the United States and a foreign country.
2. Bona fide or good faith intention to use the mark in interstate commerce or commerce between the United States and a foreign country.
3. Ownership of an application filed in a foreign country (if within six months of the foreign filing date).
4. Ownership of a foreign registration (with a certified copy).
Can the Office refuse to register a mark?
Yes. The Office will refuse to register matter if it does not function as a trademark. Not all words, names, symbols or devices function as trademarks. For example, matter which is merely the generic name of the goods on which it is used cannot be registered.
Additionally, Section 2 of the Trademark Act (15 U.S.C. §1052) contains several of the most common (though not the only) grounds for refusing registration. The grounds for refusal under Section 2 may be summarized as:
1. the proposed mark consists of or comprises immoral, deceptive, or scandalous matter;
2. the proposed mark may disparage or falsely suggest a connection with persons (living or dead), institutions, beliefs, or national symbols, or bring them into contempt or disrepute;
3. the proposed mark consists of or comprises the flag or coat of arms, or other insignia of the United States, or of any State or municipality, or of any foreign nation;
4. the proposed mark consists of or comprises a name, portrait or signature identifying a particular living individual, except by that individual's written consent; or the name, signature, or portrait of a deceased President of the United States during the life of his widow, if any, except by the written consent of the widow;
5. the proposed mark so resembles a mark already registered in the Patent and Trademark Office (PTO) that use of the mark on applicant's goods or services are likely to cause confusion, mistake, or deception;
6. the proposed mark is merely descriptive or deceptively misdescriptive of applicant's goods or services;
7. the proposed mark is primarily geographically descriptive or deceptively geographically misdescriptive of applicant's goods or services;
8. the proposed mark is primarily merely a surname; and
9. matter that, as a whole, is functional.
Can I get a refund of monies paid to the Office?
Not usually. Only money paid by mistake or in excess (that is, paid when not required, or not required in the amount paid) may be refunded. A filing fee will be returned if submitted with a defective application which is denied a filing date. However, once the application receives a filing date, the filing fee will normally not be returned. All requests for refunds should be referred to the Finance Office, or the Examining Attorney assigned.
How can I check on the status of a pending U.S. trademark application?
Once you receive a filing receipt containing the serial number of your application, you may check on the status of a pending case by calling our status line at (703) 305-8747. You may also check the status of applications and registrations through the Trademark Applications and Registrations Retrieval (TARR) database on the Office's World Wide Web site at http://tarr.uspto.gov/.
How long does it take for a mark to be registered?
It is difficult to predict how long it will take for an application to mature into a registration, because there are so many factors that can affect the process. Generally, an applicant will receive a filing receipt approximately six months after filing. The filing receipt will include the serial number of the application. All future correspondence with the PTO must include this serial number. You should receive a response from the Office within six to seven months from filing the application. However, the total time for an application to be processed may be anywhere from almost a year to several years, depending on the basis for filing, and the legal issues which may arise in the examination of the application. Current status information on trademark applications and registrations may be obtained by dialing: (703) 305-8747, or by accessing Trademark Applications and Registrations Retrieval (TARR) database on the Office's World Wide Web site at http://tarr.uspto.gov/. Applicants should check on the status of their pending applications every six months.
How long does a trademark registration last?
For a trademark registration to remain valid, an Affidavit of Use ("Section 8 Affidavit") must be filed: (1) between the fifth and sixth year following registration, and (2) within the year before the end of every ten-year period after the date of registration. The registrant may file the affidavit within a grace period of six months after the end of the sixth or tenth year, with payment of an additional fee.
The registrant must also file a §9 renewal application within the year before the expiration date of a registration, or within a grace period of six months after the expiration date, with payment of an additional fee.
Assuming that an affidavit of use is timely filed, registrations granted PRIOR to November 16, 1989 have a 20-year term, and registrations granted on or after November 16, 1989 have a 10-year term.
This is also true for the renewal periods; renewals granted PRIOR to November 16, 1989 have a 20-year term, and renewals granted on or after November 16, 1989 have a 10-year term.
When did the renewal period change from twenty to ten years?
November 16, 1989. Registrations issued on or after November 16, 1989 have a ten-year term, renewable every ten years.
How long does an Intent-to-Use applicant have to allege actual use of the mark in commerce?
An applicant may file an Amendment to Allege Use any time between the filing date of the application and the date the Examining Attorney approves the mark for publication. If an Amendment to Allege Use is not filed, then applicant has six months from the issuance of the Notice of Allowance to file a Statement of Use, unless the applicant requests and is granted an extension of time. If the applicant fails to file either an Amendment to Allege Use or a Statement of Use within the time limits allowed, then the application will be declared abandoned. No registration will be granted.
What is the Trademark Electronic Application System (TEAS)?
The United States Patent and Trademark Office (USPTO) is pleased to present TEAS - the Trademark Electronic Application System. TEAS allows you to fill out an application form and check it for completeness over the Internet. Using e-TEAS you can then submit the application directly to the USPTO over the Internet, paying by credit card or through an existing USPTO deposit account. Or using PrinTEAS, you can print out the completed application for mailing to the USPTO, paying by check or money order or through an existing USPTO deposit account (credit cards currently are not accepted for paper filings). It's your choice! Both e-TEAS and PrinTEAS are available from http://teas.uspto.gov/indexTLT.html.
How do I contest someone else using a trademark similar to mine?
There are several ways to dispute use of your trademark by a third party. Depending on the factual situation, the Trademark Office may or may not be the proper forum. You should consider contacting an attorney, preferably one specializing in trademark law. Local bar associations and the yellow pages usually have attorney listings broken down by specialties. Time can be of the essence. For information about proceedings before the Trademark Trial and Appeal Board, click on TBMP.
What are some other sources of information on trademarks?
The following publications are also available:
Basic Facts About Trademarks, available free of charge from the U.S. Patent and Trademark Office. Call 1-800-786-9199 or, if in northern Virginia, (703) 308-9000. Or, you may access the trademark forms, plus information about applying for a trademark, by clicking Basic Facts About Trademarks. The forms may be downloaded, filled out and mailed in. Or, by clicking PrinTEAS, you can fill out, validate and print trademark and service mark applications via the PTO web site.
Trademark Manual of Examining Procedure (TMEP), (Revised ed.
1997), available on a subscription basis from: Superintendent of Documents, U.S.
Government Printing Office, Box 371954, Pittsburgh, PA 15250-7954
((202) 512-2250).
Official Gazette of the U.S. Patent and Trademark Office, available from Superintendent of Documents, U.S. Government Printing Office , Box 371954, Pittsburgh, PA 15250-7954 ((202) 512-2250) (not available in electronic format).
International Classification of Goods and Services for the Purposes of Registration of Marks, (7th ed. 1996) available from: World Intellectual Property Organization (WIPO), 34, chemin des Colombettes, 1211 Geneva 20 Switzerland.
U.S. Patent and Trademark Office Acceptable Identification of Goods and
Services Manual (ID
Manual), (Revised ed. 1997), Superintendent of Documents, U.S.
Government Printing Office, Box 371954, Pittsburgh, PA 15250-7954
((202) 512-2250).
How do I register to practice before the Patent and Trademark Office?
It is not necessary to register to practice before the Patent and Trademark Office (PTO) in trademark matters. Any attorney admitted in a U.S. state or territory can practice before the trademark side of the PTO. Non-lawyers can practice only in the limited circumstances set forth in Rule 10.14(b).
For information about registering to practice in patent cases before the PTO, click on Patent Practice.
Is the name of a band a trademark?
Yes, band names would be considered trademarks, or more appropriately service marks, for entertainment services in the nature of performances by a [type of music specified] band.
Can a minor file a trademark application?
This depends upon state law. If the person can validly enter into binding legal obligations in the state, then that person may sign a trademark application. Otherwise, a parent or legal guardian must sign the application, clearly setting forth their status as a parent or legal guardian of the applicant.
Can the ownership of a trademark be assigned or transferred from one person to another?
Yes. A registered mark, or a mark for which an application to register has been filed is assignable. Written assignments may be recorded in the U.S. Patent and Trademark Office for a fee. Specific inquiries should be referred to the Assignment Division (703-308-9723). [NOTE: Certain exceptions exist concerning the assignment of Intent-to-Use applications.] For the guidelines for filing an assignment and the assignment form itself, click on Assignments.
My spouse owned a trademark registration and has since died. Do I own it now?
Perhaps. Because this depends on state law, the Patent and Trademark Office cannot provide a definite answer for all factual situations. You should consider contacting an attorney, preferably one specializing in trademark law. Local bar associations and the yellow pages usually have attorney listings broken down by specialties.
What are some suggestions to facilitate filing a trademark application and/or contacting the Patent and Trademark Office (PTO)?
When filing papers of any kind with the PTO, include a stamped, self-addressed post card listing the mark, the serial number or registration number (if known) and the contents of the filing, such as the "drawing" page, one specimen for each class, a check for the filing fee, etc.
Carefully review all documents before filing to make sure all issues have been addressed and all the necessary elements are included.
Do not file large or "bulky" specimens. Rather, submit a picture of the mark on the specimen. Bulky specimens are specimens that are larger than 8 1/2" by 11" and which do not lie flat. The PTO encourages applicants to send photographs of the goods, as long as the mark is clear from the photograph.
Place the serial number or registration number (once known) on each paper or exhibit filed, including any required checks. If, for some reason neither number is available, please put some other identifying information on the correspondence (e.g., mark, name of applicant, filing date).
Inform the PTO of any change in correspondence address as soon as possible.
Use the status line (703-305-8747), or the Trademark Applications and
Registrations Retrieval (TARR) database at http://tarr.uspto.gov , to check on
the status of any application.
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