Brief Summary:
There are proper methods for sending documents to the PTO in order to insure that the documents are received on time. An applicant may choose to send in a facsimile, hand deliver the document, use “Express Mailing”, or the Certificate of Mailing procedure. Some of these methods are appropriate for any document, others may only be available as a proper means of sending certain documents.
This chapter also covers small entity status where certain applications qualify for discounted fees due to particulars about the inventor(s). These particulars will determine whether the application may qualify for small entity status. In addition, it also covers micro entity status.
Key Terms:
| Certificate of Mailing | A Certificate of Mailing is a document that verifies the date on which a patent-related correspondence was sent to the patent office, serving as proof of timely submission. |
| Certificate of Transmission | A Certificate of Transmission is a document that confirms the date on which a patent-related electronic submission was sent to the patent office, serving as proof of timely filing. |
| Express Mail | Express Mail refers to a service used to expedite the delivery of patent-related documents to the patent office, often providing proof of the mailing date for timely filing purposes. |
| Filing Fee | A Filing Fee is the required payment submitted to the patent office when filing a patent application, covering the administrative costs of processing the application. |
| Small Entity Status | Small Entity Status is a designation that allows certain applicants, such as independent inventors, small businesses, and nonprofit organizations, to pay reduced fees for filing and maintaining a patent. |
37 CFR (Code of Federal Regulations):
| 37 CFR 1.10 – Filing of correspondence by Priority Mail Express®. |
| 37 CFR 1.10 permits the filing of correspondence with the USPTO using Priority Mail Express® from the USPS, with the filing date being the date of deposit as shown on the mailing label. |
| 37 CFR 1.53 – Application number, filing date, and completion of application. |
| 37 CFR 1.53 details the procedures for assigning an application number, establishing a filing date, and the requirements for completing a patent application with the USPTO. |
35 USC (United States Code):
| 35 USC 123 – Micro entity defined. |
| 35 USC 123 defines a “micro entity” as a type of applicant for a patent who meets specific criteria related to income, previous patent applications, and employment, allowing them to qualify for reduced fees. |
Quick Statistics:
Number of Pages: 134 pgs
Sections: 501 – 513
List of Sections:
| 501 | Filing Papers With the U.S. Patent and Trademark Office | |
| 502 | Depositing Correspondence | |
| • 502.01 Correspondence Transmitted by Facsimile • 502.02 Correspondence Signature Requirements • 502.03 Communications via Internet Electronic Mail (email) • 502.04 Duplicate Copies of Correspondence • 502.05 Correspondence Transmitted by EFS-Web | ||
| 503 | Application Number and Filing Receipt | |
| 504 | Assignment of Application for Examination | |
| 505 | Date of Receipt Stamp | |
| 506 | Completeness of Original Application | |
| • 506.01 [Reserved] • 506.02 Review of Refusal To Accord Filing Date | ||
| 507 | Drawing Review in the Office of Patent Application Processing | |
| 508 | Distribution | |
| • 508.01 [Reserved] • 508.02 Papers Received After Patenting or Abandonment • 508.03 [Reserved] • 508.04 Unlocatable Patent or Application Files | ||
| 509 | Payment of Fees | |
| • 509.01 Deposit Accounts • 509.02 Small Entity Status — Definitions • 509.03 Claiming Small Entity Status | ||
| • 509.03(a) Duty to Investigate Entitlement to Claim Small Entity Status • 509.03(b) Change or Correction of Status | ||
| • 509.04 Micro Entity Status — Definitions | ||
| • 509.04(a) Gross Income Basis for Micro Entity Status • 509.04(b) Institution of Higher Education Basis for Micro Entity Status • 509.04(c) Parties Who Can Sign the Micro Entity Certification • 509.04(d) Continued Obligation to Determine Micro Entity Qualification • 509.04(e) Notification of Loss of Entitlement to Micro Entity Status • 509.04(f) Correcting Errors in Micro Entity Status | ||
| 510 | U.S. Patent and Trademark Office Business Hours | |
| 511 | Postal Service Interruptions and Emergencies | |
| 512 | Certificate of Mailing or Transmission | |
| 513 | Deposit as Priority Mail Express® with U.S. Postal Service |