美國(guó)外觀設(shè)計(jì)申請(qǐng)指南（英文）

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■DefinitionofaDesign 1

■TypesofDesignsandModifiedForms 1

■DifferenceBetweenDesignandUtilityPatents 2

■ImproperSubjectMatterforDesignPatents 2

■InventionDevelopmentOrganizations 2

■ElementsofaDesignPatentApplication 2

■ThePreamble 3

■TheTitle 3

■TheFigureDescriptions 3

■ASingleClaim 3

■DrawingsorBlack&WhitePhotographs 3

■ColorDrawingsorPhotographs 4

■TheViews 4

■SurfaceShadingandDraftingSymbols 5

■BrokenLines 5

■TheOathorDeclaration 5

■DisclosureExamples 5

■TheDesignPatentApplicationProcess 10

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■DrawingExamples 12

■SymbolsforDraftsmen 18

■PatentLawsThatApplytoDesignPatentApplications 19

■RulesThatApplytotheDrawingsofaDesignPatentApplication 22

■SampleSpecification 32

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DefinitionofaDesign

designconsistsofthevisualornamental

characteristicsembodiedin,orappliedto,an

A

articleofmanufacture.Sinceadesignismanifestedinappearance,thesubjectmatterofadesignpatentapplicationmayrelatetotheconfigurationorshapeofanarticle,tothesurfaceornamentationappliedtoanarticle,ortothecombinationofconfigurationandsurfaceornamentation.Adesignforsurfaceornamentationisinseparablefromthearticletowhichitisappliedandcannotexistalone.Itmustbeadefinitepatternofsurfaceornamentation,appliedtoanarticleofmanufacture.

Indischargingitspatent-relatedduties,theUnitedStatesPatentandTrademarkOffice(USPTOorOffice)examinesapplicationsandgrantspatentsoninventionswhenapplicantsareentitledtothem.Thepatentlawprovidesforthegrantingofdesignpatentstoanypersonwhohasinventedanynew,originalandornamentaldesignforanarticleofmanufacture.Adesignpatentprotectsonlytheappearanceofthearticleandnotstructuralorutilitarianfeatures.Theprincipalstatutes(UnitedStatesCode)governingdesignpatentsare:

35U.S.C.171

35U.S.C172

35U.S.C.173

35U.S.C.102

35U.S.C.103

35U.S.C.112

35U.S.C.132

Therules(CodeofFederalRegulations)pertainingtothedrawingdisclosureofadesignpatentapplicationare:

37CFR§1.84

37CFR§1.152

37CFR§1.121

Thefollowingadditionalruleshavebeenreferredtointhisguide:

37CFR§1.3

37CFR§1.63

37CFR§1.76

37CFR§1.153

37CFR§1.154

37CFR§1.155

Acopyoftheselawsandrulesisincludedattheendofthisguide.

Thepracticeandproceduresrelatingtodesignapplicationsaresetforthinchapter1500oftheManualofPatentExaminingProcedure(MPEP).InquiriesrelatingtothesaleoftheMPEPshouldbedirectedtotheSuperintendentofDocuments,UnitedStatesGovernmentPrintingOffice,Washington,D.C.20402.Telephone:202.512.1800.

TypesofDesignsandModifiedForms

Anornamentaldesignmaybeembodiedinanentirearticleoronlyaportionofanarticle,ormaybeornamentationappliedtoanarticle.Ifadesignisdirectedtojustsurfaceornamentation,itmustbeshownappliedtoanarticleinthedrawings,andthearticlemustbeshowninbrokenlines,asitformsnopartoftheclaimeddesign.

Adesignpatentapplicationmayonlyhaveasingleclaim(37CFR§1.153).Designsthatareindependentanddistinctmustbefiledinseparateapplicationssincetheycannotbesupportedbyasingleclaim.Designsareindependentifthereisnoapparentrelationshipbetweentwoormorearticles.Forexample,apairofeyeglassesandadoorhandleareindependentarticlesandmustbeclaimedinseparateapplications.Designsareconsidereddistinctiftheyhavedifferentshapesandappearanceseven

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thoughtheyarerelatedarticles.Forexample,twovaseshavingdifferentsurfaceornamentationcreatingdistinctappearancesmustbeclaimedinseparateapplications.However,modifiedforms,orembodimentsofasingledesignconceptmaybefiledinoneapplication.Forexample,vaseswithonlyminimalconfigurationdifferencesmaybeconsideredasingledesignconceptandbothembodimentsmaybeincludedinasingleapplication.AnexampleofmodifiedformsappearsatthebottomofPage16.

TheDifferenceBetweenDesignandUtilityPatents

Ingeneralterms,a“utilitypatent”protectsthewayanarticleisusedandworks(35U.S.C.101),whilea"designpatent"protectsthewayanarticlelooks(35U.S.C.171).Bothdesignandutilitypatentsmaybeobtainedonanarticleifinventionresidesbothinitsutilityandornamentalappearance.Whileutilityanddesignpatentsaffordlegallyseparateprotection,theutilityandornamentalityofanarticlearenoteasilyseparable.Articlesofmanufacturemaypossessbothfunctionalandornamentalcharacteristics.

ImproperSubjectMatterforDesignPatents

Adesignforanarticleofmanufacturethatisdictatedprimarilybythefunctionofthearticlelacksornamentalityandisnotproperstatutorysubjectmatterunder35U.S.C.171.Specifically,ifatthetimethedesignwascreated,therewasnouniqueordistinctiveshapeorappearancetothearticlenotdictatedbythefunctionthatitperforms,thedesignlacksornamentalityandisnotpropersubjectmatter.Inaddition,35U.S.C.171requiresthatadesigntobepatentablemustbe“original.”Clearlyadesignthatsimulatesawell-knownornaturallyoccurringobjectorpersonisnotoriginalasrequiredbythestatute.Furthermore,subjectmatterthatcouldbeconsideredoffensivetoanyrace,religion,sex,ethnicgroup,ornationalityisnotpropersubjectmatterforadesignpatentapplication(35U.S.C.171and37CFR§1.3).

InventionDevelopmentOrganizations

InventionDevelopmentOrganizations(IDO)areprivateandpublicconsultingandmarketingbusinessesthatexisttohelpinventorsbringtheirinventionstomarket,ortootherwiseprofitfromtheirideas.Whilemanyoftheseorganizationsarelegitimate,somearenot.BewaryofanyIDOthatiswillingtopromoteyourinventionorproductwithoutmakingadetailedinquiryintothemeritsofyourideaandgivingyouafullrangeofoptionswhichmayormaynotincludethepursuitofpatentprotection.SomeIDOswillautomaticallyrecommendthatyoupursuepatentprotectionforyourideawithlittleregardforthevalueofanypatentthatmayultimatelyissue.Forexample,anIDOmayrecommendthatyouaddornamentationtoyourproductinordertorenderiteligibleforadesignpatent,butnotreallyexplaintoyouthepurposeoreffectofsuchachange.Becausedesignpatentsprotectonlytheappearanceofanarticleofmanufacture,itispossiblethatminimaldifferencesbetweensimilardesignscanrendereachpatentable.Therefore,eventhoughyoumayultimatelyreceiveadesignpatentforyourproduct,theprotectionaffordedbysuchapatentmaybesomewhatlimited.Finally,youshouldalsobeawareofthebroaddistinctionbetweenutilityanddesignpatents,andrealizethatadesignpatentmaynotgiveyoutheprotectiondesired.

ElementsofaDesignPatentApplication

Theelementsofadesignpatentapplicationshouldincludethefollowing:

(1)Preamble,statingnameoftheapplicant,titleofthedesign,andabriefdescriptionofthenatureandintendeduseofthearticleinwhichthedesignisembodied;

(2)Descriptionofthefigure(s)ofthedrawing;

(3)Featuredescription(optional);

(4)Asingleclaim;

(5)Drawingsorphotographs;

(6)Executedoathordeclaration.

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Inaddition,thefilingfeesetforthin37CFR§1.16(f)isalsorequired.Ifapplicantisasmallentity,(anindependentinventor,asmallbusinessconcern,oranon-profitorganization),thefilingfeeisreducedbyhalf.

ThePreamble

ThePreamble,ifincluded,shouldstatethenameoftheapplicant,thetitleofthedesign,andabriefdescriptionofthenatureandintendeduseofthearticleinwhichthedesignisembodied.Allinformationcontainedinthepreamblewillbeprintedonthepatent,shouldtheclaimeddesignbedeemedpatentable.

TheTitle

TheTitleofthedesignmustidentifythearticleinwhichthedesignisembodiedbythenamegenerallyknownandusedbythepublic.Marketingdesignationsareimproperastitlesandshouldnotbeused.Atitledescriptiveoftheactualarticleaidstheexaminerindevelopingacompletefieldofsearchofthepriorart.Itfurtheraidsintheproperassignmentofnewapplicationstotheappropriateclass,subclass,andpatentexaminer,aswellastheproperclassificationofthepatentuponallowanceoftheapplication.Italsohelpsthepublicinunderstandingthenatureanduseofthearticleembodyingthedesignafterthepatenthasbeenpublished.Thus,applicantsareencouragedtoprovideaspecificanddescriptivetitle.

TheFigureDescriptions

TheFigureDescriptionsindicatewhateachviewofthedrawingsrepresents,i.e.,frontelevation,topplan,perspectiveview,etc.

Anydescriptionofthedesigninthespecification,otherthanabriefdescriptionofthedrawing,isgenerallynotnecessarysince,asageneralrule,thedrawingisthedesign'sbestdescription.However,whilenotrequired,aspecialdescriptionisnotprohibited.

Inadditiontothefiguredescriptions,thefollowingtypesofstatementsarepermissibleinthespecification:

1.Adescriptionoftheappearanceofportionsoftheclaimeddesignwhicharenotillustratedinthedrawingdisclosure(i.e.,“therightsideelevationalviewisamirrorimageoftheleftside”).

2.Descriptiondisclaimingportionsofthearticlenotshown,thatformnopartoftheclaimeddesign.

3.Statementindicatingthatanybrokenlineillustrationofenvironmentalstructureinthedrawingisnotpartofthedesignsoughttobepatented.

4.Descriptiondenotingthenatureandenvironmentaluseoftheclaimeddesign,ifnotincludedinthepreamble.

ASingleClaim

Adesignpatentapplicationmayonlyincludeasingleclaim.Theclaimdefinesthedesignwhichapplicantwishestopatent,intermsofthearticleinwhichitisembodiedorapplied.Theclaimmustbeinformaltermsto“Theornamentaldesignfor(thearticlewhichembodiesthedesignortowhichitisapplied)asshown.”Thedescriptionofthearticleintheclaimshouldbeconsistentinterminologywiththetitleoftheinvention.

Whenthereisaproperlyincludedspecialdescriptionofthedesigninthespecification,orapropershowingofmodifiedformsofthedesign,orotherdescriptivematterhasbeenincludedinthespecification,thewords“anddescribed”shouldbeaddedtotheclaimfollowingtheterm“shown.”Theclaimshouldthenread“Theornamentaldesignfor(thearticlewhichembodiesthedesignortowhichitisapplied)asshownanddescribed.”

DrawingsorBlackandWhitePhotographs

Thedrawingdisclosureisthemostimportantelementoftheapplication.Everydesignpatentapplicationmustincludeeitheradrawingorablackandwhitephotographoftheclaimeddesign.Asthe

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drawingorphotographconstitutestheentirevisualdisclosureoftheclaim,itisofutmostimportancethatthedrawingorphotographbeclearandcomplete,thatnothingregardingthedesignsoughttobepatentedislefttoconjecture.Thedesigndrawingorphotographmustcomplywiththedisclosurerequirementsof35U.S.C.112,firstparagraph.Tomeettherequirementsof35U.S.C.112,thedrawingsorphotographsmustincludeasufficientnumberofviewstoconstituteacompletedisclosureoftheappearanceofthedesignclaimed.

Drawingsarenormallyrequiredtobeinblackinkonwhitepaper.Blackandwhitephotographs,inlieuofdrawings,arepermittedsubjecttotherequirementsof37CFR§1.84(b)(1)and§1.152.Applicantshouldrefertotheserules,includedattheendofthisguide.Theserulessetforthindetailtherequirementsforproperdrawingsinadesignpatentapplication.

Blackandwhitephotographssubmittedondoubleweightphotographicpapermusthavethedrawingfigurenumberenteredonthefaceofthephotograph.PhotographsmountedonBristolboardmayhavethefigurenumbershowninblackinkontheBristolboard,proximatethecorrespondingphotograph.

Blackandwhitephotographsandinkdrawingsmustnotbecombinedinaformalsubmissionofthevisualdisclosureoftheclaimeddesigninoneapplication.Theintroductionofbothphotographsandinkdrawingsinadesignapplicationwouldresultinahighprobabilityofinconsistenciesbetweencorrespondingelementsontheinkdrawingsascomparedwiththephotographs.Photographssubmittedinlieuofinkdrawingsmustnotdiscloseenvironmentalstructurebutmustbelimitedtotheclaimeddesignitself.

ColorDrawingsorColorPhotographs

TheOfficewillacceptcolordrawingsorphotographsindesignpatentapplicationsonlyafterthegrantingofapetitionfiledunder37CFR§1.84(a)(2),explainingwhythecolordrawingsorphotographsarenecessary.Anysuchpetitionmustincludethefeesetforthin37CFR§1.17(h),threesetsofcolordrawingsorphotographs,ablackandwhitephotocopythat

accuratelydepictsthesubjectmattershowninthecolordrawingsorphotographs,andthespecificationmustcontainthefollowinglanguagebeforethedescriptionofthedrawings:

Thefileofthispatentcontainsaleastonedrawingexecutedincolor.CopiesofthispatentwithcolordrawingswillbeprovidedbytheUnitedStatesPatentandTrademarkOfficeuponrequestandpaymentofthenecessaryfee.

Ifcolorphotographsaresubmittedasinformaldrawingsandtheapplicantdoesnotconsiderthecolortobepartoftheclaimeddesign,adisclaimershouldbeaddedtothespecificationasfollows:“Thecolorshownontheclaimeddesignformsnopartthereof.”Colorwillbeconsideredanintegralpartofthedisclosedandclaimeddesignintheabsenceofadisclaimerfiledwiththeoriginalapplication.Adisclaimermayonlybeusedwhenfilingcolorphotographsasinformaldrawings,as37CFR§1.152requiresthatthedisclosureinformalphotographsbelimitedtothedesignforthearticleclaimed.

TheViews

Thedrawingsorphotographsshouldcontainasufficientnumberofviewstocompletelydisclosetheappearanceoftheclaimeddesign,i.e.,front,rear,rightandleftsides,topandbottom.Whilenotrequired,itissuggestedthatperspectiveviewsbesubmittedtoclearlyshowtheappearanceandshapeofthree-dimensionaldesigns.Ifaperspectiveviewissubmitted,thesurfacesshownwouldnormallynotberequiredtobeillustratedinotherviewsifthesesurfacesareclearlyunderstoodandfullydisclosedintheperspective.

Viewsthataremerelyduplicatesofotherviewsofthedesignorthataremerelyflatandincludenoornamentalitymaybeomittedfromthedrawingifthespecificationmakesthisexplicitlyclear.Forexample,iftheleftandrightsidesofadesignareidenticaloramirrorimage,aviewshouldbeprovidedofonesideandastatementmadeinthedrawingdescriptionthattheothersideisidenticaloramirrorimage.Ifthebottomofthedesignisflat,aviewofthebottommaybeomittedifthefiguredescriptionsincludeastatementthatthebottomisflatandunornamented.Theterm"unornamented"shouldnotbeusedtodescribevisiblesurfacesthat

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includestructurethatisclearlynotflat.Insomecases,theclaimmaybedirectedtoanentirearticle,butbecauseallsidesofthearticlemaynotbevisibleduringnormaluse,itisnotnecessarytodisclosethem.Asectionalviewwhichmoreclearlybringsoutelementsofthedesignispermissible,howeverasectionalviewpresentedtoshowfunctionalfeatures,orinteriorstructurenotformingpartoftheclaimeddesign,isneitherrequirednorpermitted.

SurfaceShading

Thedrawingshouldbeprovidedwithappropriatesurfaceshadingwhichshowsclearlythecharacterandcontourofallsurfacesofanythree-dimensionalaspectsofthedesign.Surfaceshadingisalsonecessarytodistinguishbetweenanyopenandsolidareasofthedesign.Solidblacksurfaceshadingisnotpermittedexceptwhenusedtorepresentthecolorblackaswellascolorcontrast.Lackofappropriatesurfaceshadinginthedrawingasfiledmayrendertheshapeandcontourofthedesignnonenablingunder35U.S.C.112,firstparagraph.Additionally,iftheshapeofthedesignisnotevidentfromthedisclosureasfiled,additionofsurfaceshadingafterfilingmaybeviewedasnewmatter.Newmatterisanythingthatisaddedto,orfrom,theclaim,drawingsorspecification,thatwasneithershownnorsuggestedintheoriginalapplication(see35U.S.C.

132and37CFR§1.121,attheendofthisguide).

BrokenLines

Abrokenlinedisclosureisunderstoodtobeforillustrativepurposesonlyandformsnopartofthe

claimeddesign.Structurethatisnotpartoftheclaimeddesign,butisconsiderednecessarytoshowtheenvironmentinwhichthedesignisused,mayberepresentedinthedrawingbybrokenlines.Thisincludesanyportionofanarticleinwhichthedesignisembodiedorappliedtothatisnotconsideredpartoftheclaimeddesign.Whentheclaimisdirectedtojustsurfaceornamentationforanarticle,thearticleinwhichitisembodiedmustbeshowninbrokenlines.

Ingeneral,whenbrokenlinesareused,theyshouldnotintrudeuponorcrosstheshowingoftheclaimeddesignandshouldnotbeofheavierweightthanthelinesusedindepictingtheclaimeddesign.Whereabrokenlineshowingofenvironmentalstructuremustnecessarilycrossorintrudeupontherepresentationoftheclaimeddesignandobscuresaclearunderstandingofthedesign,suchanillustrationshouldbeincludedasaseparatefigureinadditiontotheotherfigureswhichfullydisclosethesubjectmatterofthedesign.

TheOathorDeclaration

Theoathordeclarationrequiredoftheapplicantmustcomplywiththerequirementssetforthin37CFR§1.63.

DisclosureExamples

Sothattheapplicantwillbetterunderstandwhatconstitutesacompletedisclosure,examplesofdrawingdisclosuresandtheiraccompanyingspecificationsareprovidedonthefollowingpages.

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DisclosureExamples

Example1-DisclosureOfTheEntireArticle

I,JohnDoe,haveinventedanewdesignforajewelrycabinet,assetforthinthefollowingspecification.Theclaimedjewelrycabinetisusedtostorejewelryandcouldsitonabureau.

Fig.1isafrontelevationalviewofajewelrycabinetshowingmynewdesign;

Fig.2isarearelevationalviewthereof;

Fig.3isaleftsideelevationalviewthereof;

Fig.4isarightsideelevationalviewthereof;

Fig.5isatopplanviewthereof;andFig.6isabottomplanviewthereof.

Iclaim:theornamentaldesignforajewelrycabinetasshown.

Specification

DrawingDisclosure

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DisclosureExamples

Example2-Disclosureofonlythesurfacesofanarticlethatarevisibleduringuse(nobottomviewordescriptionnecessary)

I,JohnDoe,haveinventedanewdesignforajewelrycabinet,assetforthinthefollowingspecification.Theclaimedjewelrycabinetisusedforstoringjewelryandcouldsitonabureau.

Fig.1isafrontelevationalviewofajewelrycabinetshowingmynewdesign;

Fig.2isarearelevationalviewthereof;

Fig.3isaleftsideelevationalviewthereof;

Fig.4isarightsideelevationalviewthereof;

Fig.5isatopplanviewthereof.

Iclaim:theornamentaldesignforajewelrycabinetasshown.

Specification

DrawingDisclosure

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DisclosureExamples

Example3-Disclosureofonlythesurfacesofanarticlethatarevisibleduringuse-Therearviewdisclosedbydescription

I,JohnDoe,haveinventedanewdesignforajewelrycabinet,assetforthinthefollowingspecification.Theclaimedjewelrycabinetisusedforstoringjewelryandcouldsitonabureau.

Fig.1isafrontelevationalviewofajewelrycabinetshowingmynewdesign;

Fig.2isaleftsideelevationalviewthereof;

Fig.3isarightsideelevationalviewthereof;and

Fig.4isatopplanviewthereof.

Therearofthejewelrycabinetisflatandunornamented.

Iclaim:theornamentaldesignforajewelrycabinetasshownanddescribed.

Specification

DrawingDisclosure

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DisclosureExamples

Example4-Disclosureofasurfacepatternasclaimeddesign,appliedtoanarticle

I,JohnDoe,haveinventedanewdesignforasurfacepatternappliedtoajewelrycabinet,assetforthinthefollowingspecification.

Fig.1isafrontelevationalviewofa

surfacepatternappliedtoajewelrycabinetshowingmynewdesign;

Fig.2isaleftsideelevationalview

thereof,therightsidebeingamirrorimage.

Thejewelrycabinetisshowninbrokenlinesforillustrativepurposesonlyandformsnopartoftheclaimeddesign.

Iclaim:theornamentaldesignforasurfacepatternappliedtoajewelrycabinetasshownanddescribed.

Specification

DrawingDisclosure

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TheDesignPatentApplicationProcess

ThepreparationofadesignpatentapplicationandtheconductingoftheproceedingsintheUSPTOtoobtainthepatentisanundertakingrequiringtheknowledgeofpatentlawandrulesandPatentandTrademarkOfficepracticeandprocedures.Apatentattorneyoragentspeciallytrainedinthisfieldisbestabletosecurethegreatestpatentprotectiontowhichapplicantisentitled.Itwouldbeprudenttoseektheservicesofaregisteredpatentattorneyoragent.Representation,however,isnotrequired.Aknowledgeableapplicantmaysuccessfullyprosecutehisorherownapplication.However,whilepersonsnotskilledinthisworkmayobtainapatentinmanycases,thereisnoassurancethatthepatentobtainedwouldadequatelyprotecttheparticulardesign.

Ofprimaryimportanceinadesignpatentapplicationisthedrawingdisclosure,whichillustratesthedesignbeingclaimed.Unlikeautilityapplication,wherethe"claim"describestheinventioninalengthywrittenexplanation,theclaiminadesignpatentapplicationprotectstheoverallvisualappearanceofthedesign,“described”inthedrawings.Itisessentialthattheapplicantpresentasetofdrawings(orphotographs)ofthehighestqualitywhichconformtotherulesandstandardswhicharereproducedinthisguide.Changestothesedrawingsaftertheapplicationhasbeenfiled,mayintroducenewmatter,whichisnotpermittedbylaw(35U.S.C.132).Itisinapplicant'sbestinteresttoensurethatthedrawingdisclosureisclearandcompletepriortofilingtheapplication,sinceanincompleteorpoorlyprepareddrawingmayresultinafatallydefectivedisclosurewhichcannotbecomeapatent.Itisrecommendedthatapplicantretaintheservicesofaprofessionaldraftspersonwhospecializesinpreparingdesignpatentdrawings.ExamplesofacceptabledrawingsanddrawingdisclosuresareincludedinthisGuidesothatapplicantwillhavesomeideaofwhatisrequiredandcanpreparethedrawingsaccordingly.

FilingAnApplication

Inadditiontothedrawingdisclosure,certainotherinformationisnecessary.Whilenospecificformatis

required,itisstronglysuggestedthatapplicantfollowtheformatspresentedt