Form PTO/SB/08a Information Disclosure Statement by Applicant

PTO/SB/08a (05-07)
Approved for use through 11/30/2007. OMB 0651-0031
U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.

Application Number
Filing Date

INFORMATION DISCLOSURE
STATEMENT BY APPLICANT

First Named Inventor
Art Unit

( Not for submission under 37 CFR 1.99)

Examiner Name
Attorney Docket Number

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U.S.PATENTS
Examiner Cite
Patent Number
Initial*
No

Kind
Issue Date
Code1

Pages,Columns,Lines where
Name of Patentee or Applicant
Relevant Passages or Relevant
of cited Document
Figures Appear

1

Add

If you wish to add additional U.S. Patent citation information please click the Add button.

Remove

U.S.PATENT APPLICATION PUBLICATIONS
Examiner Cite
Publication Number
Initial*
No

Kind Publication
Code1 Date

Pages,Columns,Lines where
Name of Patentee or Applicant
Relevant Passages or Relevant
of cited Document
Figures Appear

1

If you wish to add additional U.S. Published Application citation information please click the Add button.
FOREIGN PATENT DOCUMENTS
Examiner Cite Foreign Document
Initial*
No Number3

Country
Code2 i

Kind Publication
Code4 Date

Name of Patentee or
Applicant of cited
Document

Add
Remove

Pages,Columns,Lines
where Relevant
T5
Passages or Relevant
Figures Appear

1

If you wish to add additional Foreign Patent Document citation information please click the Add button
NON-PATENT LITERATURE DOCUMENTS

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Remove

Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of the item
Examiner Cite
(book, magazine, journal, serial, symposium, catalog, etc), date, pages(s), volume-issue number(s),
Initials* No
publisher, city and/or country where published.

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T5

Application Number

INFORMATION DISCLOSURE
STATEMENT BY APPLICANT
( Not for submission under 37 CFR 1.99)

Filing Date
First Named Inventor
Art Unit
Examiner Name
Attorney Docket Number

1

If you wish to add additional non-patent literature document citation information please click the Add button

Add

EXAMINER SIGNATURE
Examiner Signature

Date Considered

*EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through a
citation if not in conformance and not considered. Include copy of this form with next communication to applicant.
1 See Kind Codes of USPTO Patent Documents at www.USPTO.GOV or MPEP 901.04. 2 Enter office that issued the document, by the two-letter code (WIPO
Standard ST.3). 3 For Japanese patent documents, the indication of the year of the reign of the Emperor must precede the serial number of the patent document.
4 Kind of document by the appropriate symbols as indicated on the document under WIPO Standard ST.16 if possible. 5 Applicant is to place a check mark here if
English language translation is attached.

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Application Number

INFORMATION DISCLOSURE
STATEMENT BY APPLICANT
( Not for submission under 37 CFR 1.99)

Filing Date
First Named Inventor
Art Unit
Examiner Name
Attorney Docket Number

CERTIFICATION STATEMENT
Please see 37 CFR 1.97 and 1.98 to make the appropriate selection(s):
That each item of information contained in the information disclosure statement was first cited in any communication
from a foreign patent office in a counterpart foreign application not more than three months prior to the filing of the
information disclosure statement. See 37 CFR 1.97(e)(1).
OR
That no item of information contained in the information disclosure statement was cited in a communication from a
foreign patent office in a counterpart foreign application, and, to the knowledge of the person signing the certification
after making reasonable inquiry, no item of information contained in the information disclosure statement was known to
any individual designated in 37 CFR 1.56(c) more than three months prior to the filing of the information disclosure
statement. See 37 CFR 1.97(e)(2).

See attached certification statement.
Fee set forth in 37 CFR 1.17 (p) has been submitted herewith.
None
SIGNATURE
A signature of the applicant or representative is required in accordance with CFR 1.33, 10.18. Please see CFR 1.4(d) for the
form of the signature.
Signature

Date (YYYY-MM-DD)

Name/Print

Registration Number

This collection of information is required by 37 CFR 1.97 and 1.98. The information is required to obtain or retain a benefit by the
public which is to file (and by the USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR
1.14. This collection is estimated to take 1 hour to complete, including gathering, preparing and submitting the completed
application form to the USPTO. 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, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND
FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria,
VA 22313-1450.

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Privacy Act Statement

The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with your submission of the
attached form related to a patent application or patent. Accordingly, pursuant to the requirements of the Act, please be advised
that: (1) the general authority for the collection of this information is 35 U.S.C. 2(b)(2); (2) furnishing of the information solicited
is voluntary; and (3) the principal purpose for which the information is used by the U.S. Patent and Trademark Office is to
process and/or examine your submission related to a patent application or patent. If you do not furnish the requested
information, the U.S. Patent and Trademark Office may not be able to process and/or examine your submission, which may
result in termination of proceedings or abandonment of the application or expiration of the patent.
The information provided by you in this form will be subject to the following routine uses:

8.

1.

The information on this form will be treated confidentially to the extent allowed under the Freedom of Information Act
(5 U.S.C. 552) and the Privacy Act (5 U.S.C. 552a). Records from this system of records may be disclosed to the
Department of Justice to determine whether the Freedom of Information Act requires disclosure of these record s.

2.

A record from this system of records may be disclosed, as a routine use, in the course of presenting evidence to a
court, magistrate, or administrative tribunal, including disclosures to opposing counsel in the course of settlement
negotiations.

3.

A record in this system of records may be disclosed, as a routine use, to a Member of Congress submitting a
request involving an individual, to whom the record pertains, when the individual has requested assistance from the
Member with respect to the subject matter of the record.

4.

A record in this system of records may be disclosed, as a routine use, to a contractor of the Agency having need for
the information in order to perform a contract. Recipients of information shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(m).

5.

A record related to an International Application filed under the Patent Cooperation Treaty in this system of records
may be disclosed, as a routine use, to the International Bureau of the World Intellectual Property Organization, pursuant
to the Patent Cooperation Treaty.

6.

A record in this system of records may be disclosed, as a routine use, to another federal agency for purposes of
National Security review (35 U.S.C. 181) and for review pursuant to the Atomic Energy Act (42 U.S.C. 218(c)).

7.

A record from this system of records may be disclosed, as a routine use, to the Administrator, General Services, or
his/her designee, during an inspection of records conducted by GSA as part of that agency's responsibility to
recommend improvements in records management practices and programs, under authority of 44 U.S.C. 2904 and
2906. Such disclosure shall be made in accordance with the GSA regulations governing inspection of records for this
purpose, and any other relevant (i.e., GSA or Commerce) directive. Such disclosure shall not be used to make
determinations about individuals.

A record from this system of records may be disclosed, as a routine use, to the public after either publication of the
application pursuant to 35 U.S.C. 122(b) or issuance of a patent pursuant to 35 U.S.C. 151. Further, a record may be
disclosed, subject to the limitations of 37 CFR 1.14, as a routine use, to the public if the record was filed in an application
which became abandoned or in which the proceedings were terminated and which application is referenced by either a
published application, an application open to public inspections or an issued patent.
9.

A record from this system of records may be disclosed, as a routine use, to a Federal, State, or local law
enforcement agency, if the USPTO becomes aware of a violation or potential violation of law or regulation.

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