Cust No. Requirements for submissions

Status: Original and derived artifacts are available for this document.

Download: xls | pdf | html

Customer Number:

XXXXXX

< Enter six digit Customer Number

Customer Number Upload
Spreadsheet

NOTE: Bold X's indicate where data is entered. You can enter data for each application or patent starting on line 16. Insert
as many additional rows as required immediately below row 16 in order to add more application or patent updates. Do not
skip rows between entries.
XXXXXXXXXXXXXXXXXXXXXX
XXXXXXXXXXXXXXXXXXXXXX
XXXXXXXXXXXXXXXXXXXXXX
XXXXXXXXXXXXXXXXXXXXXX
XXXXXXXXXXXXXXXXXXXXXX
XXXXXXXXXXXXXXXXXXXXXX
XXXXXXXXXXXXXXXXXXXXXX

Rows 3 through 9 are for entering customer address.
Note: Customer Number and address are only displayed on page one.

Patent Number

Application
Number

(7 Digits w/o ",")

(8 digit w/o "/" or ",")

Associate
Correspondence
Address to CN?
yes/no

XXXXXXX

XXXXXXXX

YES or NO

Associate
Maintenance
Fee Address to
CN?
yes/no
YES or NO

A "YES" in column 'C' (cell C16) will
change the Correspondence Address
to the Customer Number on the
spreadsheet AND allow access to
Private PAIR.
A "YES" in column 'D' (cell D16) will
set the Maintenance Fee Address to
the upload Customer Number. There
must be at least one "YES" answered
for each listed application or patent
number. A "NO" will leave the
respective address the same.

Save as an Excel (.XLS) spreadsheet. Do not make separate files for each attorney.
Enter patented Designs as: DXXXXXX.

Enter Reissues as: REXXXXX.

Do not use slashes or commas when entering patent numbers and/or application numbers.
No Reexamination Proceedings (90 or 95 series numbers), or PCT International Applications may be listed on this
spreadsheet.
Customer number uploads MUST be submitted via diskette or CD accompanied by a cover letter signed by the
inventor, or one or more attorney or agent of record in each application or patent listed on the spreadsheet. If the
attorney or agent of record in each of the applications is not known, then more than one attorney, agent or person
granted limited recognition may sign the cover sheet so that at least one signer is of record in the listed
applications.
Mail your diskette/CD to:

Mail Stop EBC
Commissioner for Patents
P.O. Box 1450
Alexandria, VA 22313-1450
Submission requirements are set forth in the Official Gazette dated January 7, 1997 on page 1194 OG 4.
The USPTO will enter a change in correspondence or fee address in a listed application or patent only when at least one of
the following identifiers are provided and the authorizing signature on the cover letter is valid.
1. the patent number
2. the application number

For questions please contact the Electronic Business Center Help Desk at (866) 217-9197 or by e-mail to [email protected] (qu
Under the Paper Work Reduction Act of 1995, no persons are required to respond to a collection of
information unless it contains a valid OMB control number.

OMB No. 0651-0035 (Exp. 12/31/2008)

(Rev. 1/2006).

U. S. Patent and Trademark Office

U.S. DEPARTMENT OF COMMERCE

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Upload Instruction Sheet:
The Customer Number uploads MUST be submitted via diskette or CD
accompanied by a cover letter (see sample cover letter) signed by someone
who, for each application or patent listed on the attached spreadsheet, is
either: (1) the inventor, (2) a person granted limited recognition, or (3) an
attorney or agent of record in each of the applications listed on the
spreadsheet. Mail your diskette or CD to:
Mail Stop EBC
Commissioner for Patents
P.O. Box 1450
Alexandria, VA 22313-1450
We cannot currently accept PCT international applications or Reexamination
Proceedings (90 or 95 series cases) in this program.
Do not use slashes or commas when entering patent numbers and/or
application numbers.
Submission requirements are set forth in the Official Gazette dated January 7,
1997 on page 1194 OG 4.
The USPTO will enter a change in correspondence address or fee address in
a listed application or patent only when one of below listed identifers is valid
and the authorizating signature is either the inventor or attorney of record in
each of the listed applications.
1. the patent number;
2. the application number;
Authorization to communicate via e-mail should be provided on the cover letter
to expedite processing.
For questions please contact the Electronic Business Center Help Desk at toll
free (866) 217-9197 or by e-mail at [email protected] (questions only).

WHAT
WHAT HAPPENS
HAPPENS AT
AT
USPTO
USPTO

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What happens after USPTO receives the disk?
1. USPTO will check to see that your Customer Number(s) is/are on file.
Remember, for each application you can designate a different Customer Number
for (1) the correspondence address and/or (2) the fee address, or one number can
be used for both. You must apply for your customer numbers before submitting
this disk.

2. After confirmation of a valid customer number(s), we check for two criteria: data
validity (correct application and /or patent number) and signature authorization.
Applications that pass the two checks are uploaded. A subsequent upload report is
generated and will be forwarded to you. Those applications that fail either test are
listed in an error report and will also be forwarded to you. Ensure that the person(s)
signing the batch update request is either the pro se inventor, a person granted
limited recognition, or a registered attorney or agent of record in each application on
the spreadsheet. Any discrepancies will be sent to you in the error report.

3. Change of address letters will be generated for each application number and/or
patent number accepted. Acceptance occurs if the number(s) match those in our
database, and the person signing the batch update request has authority to change
the address data for the application. The letters are filed in the application or
patented file with the new Customer Number annotated on the file jacket or image file
wrapper. Copies of the letter are not mailed to the applicant or patentee.

4. Review the two reports (Error and Upload). The Error Report lists application
and/or patent numbers not updated for failing the system audits. Review the
information provided and make corrections by: waiting for the application to clear
OIPE, correct invalid application/patent number(s), provide the proper authorization
signature or submit a new POA form to make valid the authorization signature. Once
corrected submit either a new upload disk, a separate change of address, or
designation of fee address for each application. The Upload Report lists all
applications updated to reflect the customer number as designated. Please review
carefully, paying close attention to the "OLD" first line of address printed. If
the file is not familiar, it may be that you updated another customer's file with
your customer number.
5. Documents pertaining to Customer Number Uploads are retained for no longer
than twelve months after processing of the Customer Number Upload request.

Note that a batch update can no longer be used to change the power of
attorney, and any batch update request to change the power of
attorney to a customer number has been deleted before processing the
change of address request.

For questions please contact the Electronic Business Center Help Desk at (866) 217-9197 or by e-mail to ebc@uspto

Sample Cover Letter (02-03)

Address to:

Customer Number
Batch Update
Cover Letter

Mail Stop EBC
Commissioner for Patents
P.O. Box 1450
Alexandria VA 22313-1450

Dear Commissioner for Patents:
Please associate the customer number:

XXXXXX

with the correspondence address or the fee address, as shown on the
attached spreadsheet.
For each application listed on the attached spreadsheet, I am:
Select one:

The Inventor and there is no registered patent attorney or agent of
record.
An Attorney, Agent of Record or person granted
Limited Recognition
Typed or printed name, signature and Registration Number (if any):
Printed Name / Signature
Registration Number

Note: Signatures of (1) all of the applicants or, if deceased, their legal representative(s), or (2)
a registered patent attorney, agent of record or person granted Limited Recognition in each of
the applications or patents listed on the spreadsheet are required.

Date:

Telephone Number:

Recognizing that Internet communications are not secure, I hereby authorize the USPTO to
communicate with me concerning any subject matter of this customer number update request
by electronic mail. I understand that a copy of the confirmation of the change of address, but
not the e-mailed confirmation, will be made of record in the applicaiton file(s).

E-mail Address:

Privacy Act Statement:

RETURN TO FORM

This information is collected under the authority of 35 USC 2. This information is also being
collected in conjunction with the provisions of the Government Paperwork Elimination Act. This
information will only be used by the U. S. Patent and Trademark Office (USPTO) staff to associate
patent(s) and patent application(s) with your customer number, and to assure that the person(s)
submitting this information is associated with the patent(s) and/or application(s) in question.
Furnishing the information on this form is voluntary, but failure to do so may result in USPTO not
processing your request.
The information provided by you in this form will be subject to the following routine uses:
1. This information may be disclosed to Federal, state, local, or foreign agencies responsible for
investigating, prosecuting, enforcing, or implementing laws, contracts, rules, or regulations, if these
records indicate a violation or a potential violation of a law or contract. These violations
or potential violations can be civil, criminal, or regulatory in nature and can arise from general or
particular program statutes or contracts, rules, regulations, or from the necessity of protecting an
interest of the Department.
2. A record from this system of records may be disclosed to a Federal, state or local agency
maintaining civil, criminal or other relevant enforcement information or other pertinent information,
such as current licenses, if necessary to obtain information relevant to a Department decision
concerning the assignment, hiring or retention of an individual, the issuance of a security clearance,
the letting of a contract, or the issuance of a license, grant or
other benefit.
3. A record from this system of records may be disclosed in the course of presenting evidence to a
court, magistrate, or administrative tribunal, including disclosures to opposing counsel in the course
of settlement negotiations.
4. A record in this system of records may be disclosed to a member of Congress or to a
congressional staff member in response to an inquiry of the Congressional office made at the
written request of the constituent about whom the record is maintained.
5. A record in this system of records may be disclosed to the Office of Management and Budget in
connection with the review of private relief legislation (as set forth in OMB Circular No. A-19) at any
stage of the legislative coordination and clearance process as described in the Circular.
6. A record in this system of records may be disclosed to the Department of Justice to determine
whether disclosure is required by the Freedom of Information Act (FOIA).
7. The information may be disclosed to the agency contractors, grantees, experts, consultants, or
volunteers who have been engaged by the agency to assist in the performance of a service related
to this system of records and who have need to have access to the records in order to perform the
activity. Recipients of information shall be required to comply with the requirements of the Privacy
Act of 1974, as amended, pursuant to 5 USC 552a(m).
8. The information may be disclosed to the Office of Personnel Management (OPM) for personnel
research purposes as a data source for management information, for the production of summary
descriptive statistics and analytical studies in support of the function for which the records are
collected and maintained, or for related workforce studies.

collected and maintained, or for related workforce studies.

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This information is collected under the authority of 35 USC 2. This
information is required to obtain or retain a benefit by the public which is to
associate patent(s) and patent application(s) with customer numbers.
Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. The time
required to completed this collection of information is estimated at 1.5 hours,
including gathering, preparing and submitting the information to the USPTO.
Actual time will vary depending upon the individual case. Any comments on
the amount of time you require to complete this form and/or suggestions for
reducing this burden should be sent to the Chief Information Officer, U.S.
Patent and Trademark Office, P.O.Box 1450, Alexandria, VA 22313-1450. DO
NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS.
Send Customer Number Upload Worksheets via diskettes or CDs and the
required cover letter signed by either the inventor, or an attorney or agent with
a registration number associated with each application or patent listed to:
Mail Stop EBC
Commissioner for Patents
P.O. Box 1450
Alexandria, VA 22313-1450