1. Flowchart Symbols

  2. Pre-Allowance Prosecution

  3. Post Allowance Prosecution

  4. Appeals

  1. Post Allowance Prosecution

    1. Flow chart

    2. Explanation

  1. Flowchart Symbols

      1. Start/End

        2. Start and End terminators start and end flowchart segments.

      2. Connector

        3. A connector connects two different flowcharts together into a bigger one.

      3. Preparation

        4. Preparation steps require preparation of documents by applicant or his attorney.

      4. Input to USPTO

        5. Input is transmitted to the U.S.P.T.O.

      5. Decision

        6. A decision is made in the flowchart. Typically there are two branches from the decision diamond. However, there may be more (in the case of whether and how to appeal). Also, in several cases, only one branch is shown. This indicates an optional action.

      6. Output from USPTO

        7. Output is received from the U.S.P.T.O. by the applicant or his attorney.

      7. Published Output By USPTO

        8. Output is published by the U.S.P.T.O.

      8. Process

        9. An internal process.

      9. Predefined Process

        10. An external process.

  2. Pre-Allowance Prosecution

      1. File Regular Patent Application

        2. Patent prosecution typically starts with the filing of a regular patent application.

      2. File Divisional Patent Application

        3. Patent prosecution may also start with the filing of a Divisional patent application.

      3. File Continuation Patent Application

        4. Patent prosecution may also start with the filing of a Continuation or a Continuation in Part (CIP) patent application.

      4. Was a Restriction Requirement Received?

        5. Special processing is indicated when a restriction requirement is received from the U.S.P.T.O. A Restriction Requirement is issued by an examiner upon determination that a patent application claims multiple inventions. The Restriction Requirement will typically lay out what claims apply to which invention, and give the applicant the choice of which invention to pursue in this patent application.

      5. File Election of Species

        6. In response to a Restriction Requirement, an election of species is made, selecting one of the inventions identified by the examiner to prosecute.

      6. Prepare Divisional Patent Applications

        7. The remaining unelected species may be prosecuted as Divisional patent applications. Divisional applications are typically prepared by cancelling claims from other species or inventions, and then filling out the remaining claims.

      7. Publication of Application

        8. Patent applications are typically published 18 months after application.

      8. Receive Foreign Filing License

        9. A Notice of Filing and Foreign Filing License are typically received several months after filing a patent application.

      9. Receive Office Action

        10. The examiner drafts an Office Action based on his search. The Office Action will typically reject some, or all, of the claims currently pending in the patent application. He may also allow some claims and object to others, stating that they would allowable if rewritten in independant form.

      10. Was Office Action Marked Final?

        11. Ultimately, an Office Action is marked "Final". This is typically on the second Office Action, but can be either earlier or later. Applicants typically respond differently whether or not an Office Action is marked "Final". In particular, an applicant may contest claim rejections on the merits in responding to non-Final Office Actions.

      11. Prepare Amendment

        12. In the case of a non-final Office Action, the applicant typically prepares an Amendment in response.

      12. File Amendment

        13. The Amendment prepared in response to the non-final Office Action is filed with the U.S.P.T.O.

      13. Decide to Appeal Rejection?

        14. In the case of an Office Action marked "Final", a decision is made whether to appeal the rejection.

      14. Were Any Claims Allowed (or Allowable)?

        15. Different processing is indicated whether or not any claims have been allowed, or would be allowed if rewritten in independant form.

      15. Decide to Continue Prosecution

        16. If no Claims are allowable, a decision is made whether to Continue Prosecution.

      16. Request for Continuing Prosecution

        17. If it is decided to continue prosecution, a Request for Continued Prosecution is filed with the U.S.P.T.O. along with the required fee.

      17. Abandon Patent Application

        18. When no Claims have been allowable, and no Continuing Prosecution is elected, the application is abandoned.

      18. Prepare Amendment

        19. When appealing, an Amendment is typically prepared putting the application in better shape for the Appeal. Often, Claims that are clearly unpatentable are cancelled, leaving only those already allowed or allowable, or those in contention.

      19. Did You Win the Appeal?

        20. Different processing is indicated whether or not the Appeal was won or lost.

  3. Post Allowance Prosecution

    1. Flowchart

    2. Corresponding Explanation

      1. Allowed

        2. At this point, this patent application is now either allowed or is allowable. Prosecution of the claims on their merits is now essentially complete. Claims are either rejected, objected to, or allowed. "Objected To" claims are dependant claims that are dependant upon rejected claims, but would be allowable if rewritten in independant form.

      2. Were All Claims Allowed?

        3. Different processing is indicated depending on whether or not all Claims have been allowed.

      3. Prepare Amendment After Final

        4. If not all claims have been allowed at this point, an Amendment After Final is typically prepared, cancelling rejected Claims and rewriting dependant claims that have been "objected to" in independant form. Also, any other informality problems with the application are fixed at this point.

      4. Were the Drawings Acceptable?

        5. Different processing is indicated if the Drawings are not yet acceptable. In many cases, informal drawings are filed orignally, and formal drawings filed later. Also, occasionally, formality problems are detected in the submitted drawings during prosecution.

      5. File Formal Drawings

        6. If the Drawings are not yet acceptable, formal drawings are prepared and filed with the U.S.P.T.O.

      1. Receive Notice of Allowance

        2. A Notice of Allowance and Issue Fee Due is received from the U.S.P.T.O. when all formality problems have been resolved, including the cancellation of all rejected claims and the rewriting of all objected to claims.

      2. Pay Issue Fee

        3. The Issue Fee is paid utilizing the form supplied by the U.S.P.T.O. when it sent the applicant the Notice of Allowance and Issue Fee Due.

      3. USPTO Issues Patent

        4. The U.S.P.T.O. issues the patent. upon receipt of the payment of the Issue Fee.

      4. Maintenance Fees Due

        5. Henceforth, the patent is maintained in force by payment of periodic maintenance fees.

      5. Decide to File a Continuation?

        6. Optionally, a regular Continuation patent application may be filed before the patent application issues.

      6. Decide to File Continuation in Part (CIP)?

        7. Optionally, a Continuation-in-Part (CIP) may be filed before the patent application issues.

      7. Prepare Continuation in Part (CIP)

        8. If an applicant decides to file a Continuation-in-Part (CIP), the CIP application is prepared for filing. New matter is included with the old.

  4. Appeals

      1. Appeal Rejection

        2. A Final Rejection of patent Claims is appealed.

      2. File Notice of Appeal

        3. The appeals process is initiated by filing a Notice of Appeal and including the required fee.

      3. Decide to Request an Oral Hearing?

        4. A decision is typically made whether or not to request an Oral Hearing.

      4. File Request for Oral Hearing

        5. If it is decided to request an oral hearing, A "Request for an Oral Hearing" is filed with the U.S.P.T.O., along with the required fee.

      5. Prepare Appeal Brief

        6. An Appeal Brief is prepared. In it, the applicant argues why each group of rejected claims should be allowed. A precise layout for an Appeal Brief is set out in the MPEP and 37 CFR. Failure to comply often results in dismissal of the Appeal.

      6. File Appeal Brief

        7. The applicant's Appeal Brief is filed with the U.S.P.T.O., along with the required fee.

      7. Receive Answer Brief

        8. The examiner may chose to file an Answer Brief in response to an applicant's Appeal Brief.

      8. Hearing by Board of Patent Appeals and Interferences

        9. An appeal is ultimately heard by the Board of Patent Appeals and Interferences. This may take a year or so. Applicant (or his attorney) may be present and make arguments if he filed a Request for an Oral Hearing. Otherwise, the appeal is decided solely on the briefs. The Board will ultimately render a decision, either in the applicant's favor, in in favor of the examiner.

      9. Did You Win the Hearing by the Board?

        10. Different processing is typically indicated based on whether or not you won the appeal before the Board of Patent Appeals and Interferences.

      10. Decide to Appeal Loss of Hearing by the Board?

        11. If you lost the appeal before the Board of Patent Appeals and Interferences, you have three choices: give up the Appeal; appeal to the District Court; or appeal to the Federal Circuit.

      11. Appeal to District Court

        12. The District Court of the District of Columbia hears all appeals from the USPTO Board of Patent Appeals and Interferences except for those made directly to the Federal Circuit. The District Court will ultimately hear your appeal and render an opinion, either ruling for you or for the U.S.P.T.O.

      12. Did You Win in the District Court?

        13. The District Court will ultimately made a ruling on your appeal, and if you lost, you then have the option of appealing to the Federal Circuit.

      13. Decide to Appeal to the Federal Circuit?

        14. If you lose your appeal in the District Court (for the District of Columbia), you can appeal further to the Court of Appeals for the Federal Circuit.

      14. Appeal to the Federal Circuit

        15. The Court of Appeals for the Federal Circuit hears appeals from the District Court. You may also appeal a loss from U.S.P.T.O. Board of Patent Appeals and Interferences directly to this court.  The Federal Circuit will ultimately hear your appeal and render an opinion, either ruling for you, or for the U.S.P.T.O.

      15. Did You Win in the Federal Circuit?

        16. The Court of Appeals for the Federal Circuit will ultimately made a ruling on your appeal, and you then have the option of trying to appeal to the U.S. Supreme Court if you lost.

      16. Decide to Appeal to the U.S. Supreme Court?

        17. If you lose your appeal in the Court of Appeals for the Federal Circuit, you can attempt to appeal to the U.S. Supreme Court.

      17. Appeal to the U.S. Supreme Court

        18. The U.S. Supreme Court may decide to review your case. This is totally discretionary on their part, and they review very, very, few patent cases.

      18. Win in U.S. Supreme Court?

        19. If the U.S. Supreme Court decides to hear your appeal, after they do so, they will ultimately do so, and then render an opinion, either for you, or for the U.S.P.T.O. If they do not take your case, the decision of the Court of Appeals for the Federal Circuit stands.

      19. Win Appeal

        20. If you win at any level in the appeals process, prosecution is typically reopened.

      20. Lose Appeal

        21. If you did not win at some level in the appeals process, prosecution is essentially over, unless you elect (and pay for) Continuing Prosecution.