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 “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. For example, facsimile’s may not be used to send in documents that will be used to receive a filing date (i.e., a nonprovisional application). We will cover many more rules of mailing in this chapter.
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.
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The Executive Summaries from the main chapter sections have been copied here for your convenience (subsections are not included here). They will help you remember what each main section of the Guidebook (MPEP) covers as you answer the questions from the quizzes above.
This section offers brief details on filing papers with the USPTO. For instance, patent-related papers may be hand-carried to the Office.
This section discusses how to submit correspondence to the PTO. This includes a brief introduction to filing new patent applications and related correspondence through the Electronic Filing System (EFS-Web) and priority mail express. The importance of filing post allowance correspondence prior to the date of issue fee payment is also discussed.
This section includes a discussion on application numbers. Application numbers are assigned by the Office. The Office will provide the application number if a self-addressed postcard is submitted with the patent application. Filing receipts are also discussed here as well as return post cards.
The United States Patent and Trademark Office (Office) stamps papers and fees received through the mail (other than those submitted by Express Mail), by facsimile, or via EFS-Web with the date of their receipt in the Office. The stamp is referred to as the "Office Date" stamp.
This section covers the completeness of the original application including both nonprovisional and provisional applications. A Notice of Incomplete Application will be mailed for incomplete nonprovisional applications. The filing date will not be granted until the nonprovisional application is deemed complete. In addition, no filing date will be granted for an incomplete provisional application.
Applications are deemed informal and therefore not granted a filing date for numerous reasons including if it is typed on both sides of the paper.
A discussion on filing dates for nonprovisional and provisional applications is also included in this section.
This section covers the drawing review process. It covers the reasons drawings are often objected to and a few details on the process for correcting them.
The payment of fees is covered in this section. Included is a discussion on the itemization and application of fees and payment by credit card.
The U.S. Patent and Trademark Office (USPTO or Office) working hours are 8:30 a.m. to 5:00 p.m., Monday through Friday, excluding Federal holidays in the District of Columbia.
In the event of a postal interruption or emergency, an announcement will be placed on the USPTO Web site and a notice will be published in the Official Gazette, providing instructions about the filing of patent applications, and other papers related to patent applications and patents.
This section covers details on a Certificate of Mailing or Transmission. The Certificate of Mailing does not apply to papers mailed in a foreign country, but a Certificate of Transmission can apply to papers mailed in a foreign country.
This section also covers the procedure by the applicant, use of a stamped certification, the Office procedure, and instances where the original mailed paper is not delivered.
This section covers submitting papers through priority mail express.
Effective July 28, 2013, the United States Postal Service (USPS) changed the name of “Express Mail” to “Priority Mail Express.” All characteristics of the “Priority Mail Express” service are the same as those of the former “Express Mail” service (although the mailing labels differ).
Details of priority mail express are outlined including the date-in, "express mail" mailing label numbers, petitions challenging the "express mail" mailing label or other issues, petitions to correct the filing date or correspondence never received. Several other petitions are also covered including a petition for correspondence returned or refused due to postal interruptions or emergencies.
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