eIDS (Information Disclosure Statements) filed with no additional disclosure requirements

Instructions for Information Disclosure Statement
U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE

Contents
1. PDF Form-Fillable Instructions
2. Detailed Instructions for Fields
a. Information Disclosure
Statement Header
b. U.S. Patents
c. U.S. Publications
d. Foreign Patent Documents
e. Non-Patent Literature
f. Certification Statement
g. Signature

3. WIPO ST.3 Table
4. WIPO ST.16 Kind Codes

_________________________________

1. Form-Fillable Instructions
Overview
USPTO fill-in PDF forms use the features
provided with Adobe Acrobat products.
There is some validation of the
information you enter but you are still
responsible for entering all required
information (instructions may require
some information to be handwritten on
the form).
Versioning of the RCE form
EFS-Web 1.1 will only accept version 2.0
and above of the IDS form.
Software Requirements
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installed
on
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computer. Version 7.0.8 or later of Adobe
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open the file within your browser's window
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then select "Save Target/Link As..." from
the menu. Use Adobe Reader to open the
file.
Completing the Form
When positioning the cursor on a fill-in area
or element, the cursor will change
appearance. The I-beam pointer allows you
to type text. The hand pointer allows you to
select a check box or radio button.
Enter the appropriate data in each box or
field. To move from one field to the next,
press the Tab key. You can also use your
cursor to move from field to field.
Place your cursor in the field you want to fill
in, then left-click.
Some fields limit the maximum number of
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Tips:
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¾ Save a copy of your work to avoid
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¾ The USPTO is only accepting
certain types of applications
electronically. Visit www.uspto.gov
for more details

2. Detailed Form Instructions by Field
Information Disclosure Statement Header:
Application Number
Filing Date
First Named Inventor

Art Unit
Examiner Name
Attorney Docket Number

Enter the US Application number you wish to file the Information Disclosure
Statement against, for example 99999999 or 09999999
Enter the filing date of the US Application number with which you are filing the
Information Disclosure Statement.
Enter the Last Name of the first named inventor. If the name is more than 50
characters in length. Characters beyond the 50th will be truncated in USPTO
internal systems
Enter the Art Unit location if known.
Enter the name of the examiner assigned, if known or likely to be assigned to
the corresponding patent application.
Enter the Attorney Docket Number. The text format is alpha numeric.

U.S. Patents:
Examiner Initial
Cite Number

Patent Number
Kind

Issue Date
Name of Patentee or
Applicant of cited
Document
Pages, Columns, Lines
where relevant passages
or relevant figures
appear.
Remove
Add

When the examiner processes the form, he or she will initial this box if they
accept the citation. For USPTO action only.
This number is self-incrementing; as you add more citations, this number will
increase by one to a maximum of 50. When U.S. Patent Application
Publications are also listed, the maximum combined total is 50. For USPTO
action only.
Enter the Patent Number to be cited, example is 9999999 or 09999999
Enter the Kind code of the patent number if known. WIPO Standard ST. 16
codes (kind codes) include a letter, and in many cases a number, used to
distinguish the kind of patent document (e.g., publication of an application for
a utility patent (patent application publication), patent, plant patent application
publication, plant patent, or design patent) and the level of publication (e.g.,
first publication, second publication, or corrected publication).
Enter the date of Issue for the cited patent.
Enter the Last Name of the first named inventor of the cited patent. If the
name is more than 50 characters in length characters beyond the 50th will be
truncated in USPTO internal systems
Enter any relevant information of the cited patent regarding Page Number,
Column Location or Line Number where the Relevant Passages or Figures
appear.
Selecting the DELETE button will delete the last U.S. Patent Citation row of
data.
Selecting the ADD button will add additional U.S. Patent Citation data fields.

U.S. Patent Application Publications
Examiner Initial
Cite Number

Publication Number
Kind

When the examiner processes the form, he or she will initial this box if they
accept the citation. For USPTO action only.
This number is self-incrementing; as you add more citations, this number will
increase by one to a maximum of 50. When U.S. Patents are also listed, are
also listed, the maximum combined total is 50. For USPTO action only.
Enter the Publication Number to be cited, example is YYYY9999999
Enter the Kind code of the patent number if known. WIPO Standard ST. 16
codes (kind codes) include a letter, and in many cases a number, used to
distinguish the kind of patent document (e.g., publication of an application for
a utility patent (patent application publication), patent, plant patent application
publication, plant patent, or design patent) and the level of publication (e.g.,
first publication, second publication, or corrected publication).

Publication Date
Name of Patentee or
Applicant of cited
Document
Pages, Columns, Lines
where relevant passages
or relevant figures
appear.
Remove
Add

Enter the date of Publication for the cited application.
Enter the Last Name of the first named inventor of the cited patent. If the
name is more than 50 characters in length characters beyond the 50th will be
truncated in USPTO internal systems
Enter any relevant information of the cited patent regarding Page Number,
Column Location or Line Number where the Relevant Passages or Figures
appear.
Selecting the DELETE button will delete the selected U.S. Patent Citation row
of data.
Selecting the ADD button will add additional U.S. Patent Citation data fields.

Foreign Patent Documents:
Examiner Initial
Cite Number
Foreign Document
Number
Country Code
Kind
Publication Date
Name of Patentee or
Applicant of cited
Document
Pages, Columns, Lines
where relevant passages
or relevant figures
appear.
T
Remove
Add

When the examiner processes the form, he or. she will initial this box if they
accept the citation. For USPTO action only.
This number is self-incrementing; as you add more citations, this number will
increase by one to a maximum of 50. For USPTO action only.
Enter up to 17 characters alpha numeric of the Foreign Document Number.
See the attached WIPO ST.3 Table for the correct 2 digit code.
See the attached WIPO ST.16 Kind Code Table
Date of Publication of the Foreign Patent Document
If known, enter the Last Name of the Inventor of the cited Foreign Patent
Document
List the page, column or line number of the relevant text or figures of the cited
Foreign Patent Document.

Check the box if an English translation of the Foreign Patent Document is
attached to the IDS submission
Selecting the DELETE button will delete the bottom Foreign Patent Document
Citation row of data.
Selecting the ADD button will Add an additional row of data for Foreign Patent
Document citation.

Non-Patent Literature Documents:
Examiner Initial
Cite Number
Name of the author, title
of the article, title of the
item, publisher, city and
or country where
published.
T
Remove
Add

When the examiner processes the form, he or. she will initial this box if they
accept the citation. USPTO internal action only.
This number is self-incrementing; as you add more citations, this number will
increase by one to a maximum of 50. USPTO internal action only.
If known, enter the Last Name of the author, the title of the article or item, the
publisher, city and or country of publication.

Check the box if an English translation of the Non-Patent Literature is
attached to the IDS submission
Selecting the DELETE button will delete the bottom citation row of Non-Patent
Literature.
Selecting the ADD button will Add an additional citation row of data for NonPatent Literature.

Certification Statement
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.
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 attached certification statement.
Fee set forth in 37 CFR 1.17 (p) has been
submitted herewith.
None

Please see 37 CFR 1.97 and 1.98 to make the
appropriate selection(s):

Please see 37 CFR 1.97 and 1.98 to make the
appropriate selection(s):

Select this box if the eFiler intends to submit their
own IDS Certification Statement.
Select this box for an Information Disclosure
Statement under CFR 37 1.97(c) or 1.97 (d) or a
submission under CFR 1.37 1.99:
Select this box if none of the selections apply.

Signature
Signature

Date
Name/Print
Registration Number
Remove
Add

Enter the electronic signature of the individual signing the Information
Disclosure Statement. An example would be /John Q Public/ See 37CFR
1.4d(3)
Enter the date of submission of the Information Disclosure Statement.
Type or write the name of the individual submitting the Information Disclosure
Statement.
Enter the Registration Number of the U.S. Patent Practitioner who is
submitting the Information Disclosure Statement.
Selecting the DELETE button will delete the bottom citation row of Non-Patent
Literature.
Selecting the ADD button will Add an additional citation row of data for NonPatent Literature.

3. WIPO ST.3 Table
CODE

SRI LANKA

LK

ANDORRA

AD

COLOMBIA

CO

UNITED ARAB EMIRATES

AE

COSTA RICA

CR

AFGHANISTAN

AF

CUBA

CU

ALGERIA

DZ

HOLY SEE

VA

ANTIGUA AND BARBUDA

AG

CAPE VERDE

CV

ANGUILLA

AI

CYPRUS

CY

ARMENIA

AM

CZECH REPUBLIC

CZ

ALBANIA

AL

BENIN

BJ

NETHERLANDS ANTILLES

AN

DJIBOUTI

DJ

ANGOLA

AO

DENMARK

DK

AFRICAN REGIONAL INDUSTRIAL PROPERTY
ORGANIZATION (ARIPO)
ARGENTINA

AP

DOMINICA

DM

AR

DOMINICAN REPUBLIC

DO

AUSTRALIA

AU

GERMANY

DE

ETHIOPIA

ET

COUNTRY

ARUBA

AW

AZERBAIJAN

AZ

BANGLADESH

BD

BOSNIA AND HERZEGOVINA

BA

BAHRAIN

BH

BARBADOS

BB

EURASIAN PATENT ORGANIZATION (EAPO)

EA

ECUADOR

EC

ESTONIA

EE

WESTERN SAHARA

EH

IRELAND

IE
EM

ER

BELGIUM

BE

BULGARIA

BG

EUROPEAN (EU) OFFICE FOR HARMONIZATION
IN THE INTERNAL MARKET (OHIM)
EUROPEAN PATENT OFFICE (EPO)

BHUTAN

BT

ERITREA

BURUNDI

BI

SPAIN

ES

BERMUDA

BM

EGYPT

EG

BRUNEI DARUSSALAM

BN

FIJI

FJ

BOLIVIA

BO

FALKLAND ISLANDS (MALVINAS)

FK

BRAZIL

BR

LIECHTENSTEIN

LI

BAHAMAS

BS

FAROE ISLANDS

FO

BOTSWANA

BW

FRANCE

FR

MYANMAR

MM

GABON

GA

BOUVET ISLAND

BV

UNITED KINGDOM

GB

BENELUX TRADEMARK OFFICE (BBDM) AND
BENELUX DESIGNS OFFICE (BBDM)
BELARUS

BX

GC

BELIZE

BZ

PATENT OFFICE OF THE COOPERATION
COUNCIL FOR THE ARAB STATES OF THE GULF
(GCC)
GRENADA
GAMBIA

GM

BY

CANADA

CA

DEMOCRATIC REPUBLIC OF THE CONGO

CD

CHILE

CL

CONGO

CG

SWITZERLAND

CH

COTE D'IVOIRE

CI

COOK ISLANDS

CK

EP

GD

GEORGIA

GE

GHANA

GH

GUINEA

GN

GIBRALTAR

GI

GREENLAND

GL

EQUATORIAL GUINEA

GQ

GREECE

GR

REPUBLIC OF MOLDOVA

MD

SOUTH GEORGIA AND THE SOUTH SANDWICH
ISLANDS
GUATEMALA

GS

MALI

ML
MK

GUINEA-BISSAU

GW

THE FORMER YUGOSLAV REPUBLIC OF
MACEDONIA
MALTA

GUYANA

GY

MONGOLIA

MN

HAITI

HT

MACAU

MO

THE HONG KONG SPECIAL ADMINISTRATIVE
REGION OF THE PEOPLE'S REPUBLIC OF CHINA
HONDURAS

HK

NORTHERN MARIANA ISLANDS

MP

MAURITIUS

MU

MONTSERRAT

MS

GT

HN

CROATIA

HR

HUNGARY

HU

INTERNATIONAL BUREAU OF THE WORLD
INTELLECTUAL PROPERTY ORGANIZATION
(WIPO)
INDONESIA

IB

ID

ISRAEL

IL

INDIA

IN

IRAQ

IQ

IRAN, ISLAMIC REPUBLIC OF

IR

ICELAND

IS

ITALY

IT

JAPAN

JP

JAMAICA

JM

JORDAN

JO

CAMEROON

CM

KENYA

KE

MT

MAURITANIA

MR

OMAN

OM

MALDIVES

MV

MALAWI

MW

MEXICO

MX

MALAYSIA

MY

MOZAMBIQUE

MZ

NICARAGUA

NI

NAMIBIA

NA

NIGER

NE

NETHERLANDS

NL

NORWAY

NO

NEPAL

NP

NAURU

NR

NEW ZEALAND

NZ
OA

PE

KYRGYZSTAN

KG

KIRIBATI

KI

AFRICAN INTELLECTUAL PROPERTY
ORGANIZATION (OAPI)
AUSTRIA

COMOROS

KM

PERU

DEMOCRATIC PEOPLE'S REPUBLIC OF KOREA

KP

PARAGUAY

PY

SAINT KITTS AND NEVIS

KN

PHILIPPINES

PH

REPUBLIC OF KOREA

KR

PAKISTAN

PK

KUWAIT

KW

PANAMA

PA

CAYMAN ISLANDS

KY

POLAND

PL

KAZAKHSTAN

KZ

PAPUA NEW GUINEA

PG

LAOS

LA

PORTUGAL

PT

LEBANON

LB

PALAU

PW

SAINT LUCIA

LC

QATAR

QA

LIBERIA

LR

CHINA

CN

LESOTHO

LS

ROMANIA

RO

LITHUANIA

LT

RUSSIAN FEDERATION

RU

LUXEMBOURG

LU

RWANDA

RW

LATVIA

LV

SAUDI ARABIA

SA

LIBYA

LY

SOLOMON ISLANDS

SB

MOROCCO

MA

SEYCHELLES

SC

MONACO

MC

SUDAN

SD

MG

FINLAND

FI

MADAGASCAR

AT

SINGAPORE

SG

CENTRAL AFRICAN REPUBLIC

CF

SAINT HELENA

SH

CAMBODIA

KH

SLOVENIA

SI

ZIMBABWE

ZW

SLOVAKIA

SK

YEMEN

YE

EL SALVADOR

SV
SM

EUROPEAN (EU) COMMUNITY PLANT VARIETY
OFFICE (CPVO)

QZ

SAN MARINO
SENEGAL

SN

SOMALIA

SO

SYRIA

SY

SURINAME

SR

SAO TOME AND PRINCIPE

ST

SWEDEN

SE

SWAZILAND

SZ

UNITED REPUBLIC OF TANZANIA

TZ

TURKS AND CAICOS ISLANDS

TC

TRINIDAD AND TOBAGO

TT

THAILAND

TH

TONGA

TO

TAJIKISTAN

TJ

TURKMENISTAN

TM

TUNISIA

TN

TOGO

TG

EAST TIMOR

TP

TURKEY

TR

CHAD

TD

TUVALU

TV

TAIWAN

TW

UKRAINE

UA

UGANDA

UG

UNITED STATES OF AMERICA

US

BURKINA FASO

BF

URUGUAY

UY

UZBEKISTAN

UZ

SAINT VINCENT AND THE GRENADINES

VC

VENEZUELA

VE

VIRGIN ISLANDS, BRITISH

VG

VIET NAM

VN

VANUATU

VU

SIERRA LEONE

SL

NIGERIA

NG

WORLD INTELLECTUAL PROPERTY
ORGANIZATION (WIPO) (INTERNATIONAL
BUREAU OF)
SAMOA

WO

YUGOSLAVIA

YU

WS

SOUTH AFRICA

ZA

ZAMBIA

ZM

WIPO ST.16 Kind Codes
Summary of USPTO Kind Codes Used on Documents Published Beginning January 2,
2001
WIPO ST.16
Kind Codes

Kind of document

Comments

A1

Patent Application Publication

Pre-grant publication available March 2001

A2

Patent Application Publication
(Republication)

Pre-grant publication available March 2001

A9

Patent Application Publication
(Corrected Publication)

Pre-grant publication available March 2001

B1

Patent

No previously published pre-grant publication

B2

Patent

Having a previously published pre-grant
publication and available March 2001

Reexamination Certificate

Previously used codes B1 and B2 are now
used for granted Patents

E

Reissue Patent

No change

H

Statutory Invention Registration No change
(SIR)

P1

Plant Patent Application
Publication

Pre-grant publication available March 2001

P2

Plant Patent

No previously published pre-grant publication

P3

Plant Patent

Having a previously published pre-grant
publication and available March 2001

P4

Plant Patent Application
Publication (Republication)

Pre-grant publication available after March
2001

P9

Plant Patent Application
Publication (Corrected
Publication)

Pre-grant publication available March 2001

S

Design Patent

No change

C1, C2,
C3…