Chapter 500: Receipt and Handling of Mail and Papers

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 “Priority Mail Express”, or the Certificate of Mailing procedure.
This chapter also covers small entity status and micro 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 or micro entity status.
This chapter is tested a fairly high amount on the patent bar exam. You can expect to answer a question or two pertaining to small entity status and proper mailing procedures.

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- Click on image to see full-size view or download the mindmap PDF.
- Download the PDF outline.

- Know the in’s and out’s of the proper mailing procedures.
- Familiarize yourself with the details of small entity status.
- Learn the details of refunds and retroactive payments, especially in regards to small entities.
- Know the following rules:
37 C.F.R. 1.5 |
Identification of application, patent, or registration. |
37 C.F.R. 1.54 |
Parts of application to be filed together; filing receipt. |
37 C.F.R. 1.53 |
Application number, filing date, and completion of application. |
37 C.F.R. 1.6 |
Receipt of correspondence. |
37 C.F.R. 1.8 |
Certificate of mailing or transmission. |
37 C.F.R. 1.10 |
Filing of papers and fees by “Express Mail.” |

- Certificate of Mailing
- Certificate of Transmission
- Express Mail
- Filing fee
- Incomplete application
- Small entity status