Engagement Requirements and Commitments

Correspondence

1. Please include the following in all correspondence:
   1. Application Number
   2. Our reference number* (Please use our Tech ID until a matter number is assigned by us)
   3. Your reference number
   4. Include important information in the body of the email; email text is captured into the IP record in our Salesforce platform, but attachments do not import. An email that simply says “see attachment for details” requires extra work.
2. For each new matter filed, please include the following information when reporting to us:
   1. Application number
   2. File date or nationalization date
   3. Title of the Application
   4. Country filed in
   5. Your reference number
   6. Our Tech ID* (we will provide our matter number after an application number is provided)
3. General guidelines regarding correspondence:
   1. Always include us in correspondence even if a licensee exists and they lead prosecution.
   2. Please inform us immediately if an inventor contacts you directly without including us, and please share that communication with us.
   3. Please refrain from corresponding directly with our inventors.
4. People to include:
   1. When sending initial materials related to specific technologies, we will CC all relevant parties, and we kindly request you to include them in all further correspondence.
   2. If we need to add or remove parties, we will notify you.

What We Do (Internal Responsibilities)

1. Reference Searches—We perform reference searches.
2. Signature Requests—Declarations, Assignments, and POAs.
   1. We will execute via DocuSign documents you provide for non-provisional applications, including but not limited to, Declarations, Assignments, and POAs.
      1. Please include an “Acceptance of Assignment by Assignee” block.
      2. Please do not include Notary and Witness signature blocks on Assignments as they are not required by the USPTO. We understand that special circumstances may arise when filing in other jurisdictions.
   2. We have an internal assignment we prepare and send for Provisional applications.
3. We send Duty to Disclose Notifications to CSU inventors when we receive them from you.

Formalities

1. We prefer to execute a General Power of Attorney with your firm, instead of single matter POAs.
2. POAs executed for foreign associates must be matter-specific.
3. CSU Strata Address: Please use our physical address for all filings: 2537 Research Blvd. Ste 200, Fort Collins, CO 80526.
4. Inventor Address: To streamline administrative processes and minimize errors, please use our physical address for the address(es) of our CSU Inventor(s).
5. Entity Status: Please always file as Small Entity unless we instruct otherwise.
6. We file as Colorado State University Research Foundation (CSURF), CSU Strata is a dba.
7. Mailed correspondence should be sent to our physical address: 2537 Research Blvd. Ste 200, Fort Collins, CO 80526.
8. Do not order Ceremonial Copies of Patents without a direct request to do so from us.

Annuities

1. We are in the process of moving to an external provider and will update you once this has been completed.
2. We ask that you send a quarterly report of all of our matters (including co-owned) to ensure that we are able to update our annuity service provider of all new and ongoing matters requiring maintenance services.

Billing

1. Invoices should be emailed to docs+csustrata@ap-docs.com and csurf_csuv_invoices@mail.colostate.edu.
2. Invoices should be addressed to CSU Strata Technology Transfer.
3. Due to our licensing agreements, we will not accept invoices that combine matters.
4. Invoices and Email subject line must include the following information:
   1. Application number
   2. Our reference number (please use our Tech ID until a matter number is assigned)
   3. Your reference number
5. Invoices must match agreed-upon pricing for services rendered.
6. Delayed payment or rejection of invoices may occur if the preceding requirements are not met.

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* Our Tech ID comprises the 4-digit year of technology disclosure, followed by a 3-digit number indicating the order in which it was received (e.g., 2024-001).

Our reference numbers follow a specific format, comprising the Tech ID, Country Code, Partial Application Number, and Suffix for non-utility applications (e.g., 24-001.US.111.PV).

• The Tech ID in our reference number utilizes a 2-digit year instead of the 4-digit year.
• Following the Tech ID is a decimal point and the Country Code.
• Another decimal point precedes the last 3 numbers of the application, excluding any letters or other characters.
• Applications other than Utility Apps will include a suffix that identifies the Intellectual property type:
  • PV = Provisional
  • PCT = Patent Cooperation Treaty
  • D = Design
  • PVP = Plant Variety Protection
  • PBR = Plant Breeder Rights
  • TM = Trademark
  • CR = Copyright