What happens if a 37 CFR 1.501 submission is improper?

If a submission under 37 CFR 1.501 is deemed improper, it will not be entered into the patent file. The MPEP states:

“If the 37 CFR 1.501 submission is not proper because it is not limited to patents, printed publications, and/or patent owner written claim scope statements and additional information or it fails to include the requisite description and information or proof of service, it will not be entered into the patent file.“

The handling of improper submissions varies depending on whether service of copy is included and if the identity of the third-party sender is known. Generally:

• If the submitter is known, the submission may be returned or discarded, and the submitter notified.
• If the submitter is unknown, the submission may be discarded without notification.
• The patent owner may or may not be notified, depending on the specific circumstances.

To learn more:

• 37 CFR 1.501
• Improper Submission
• Patent Procedure
• USPTO Handling