MPEP § 506.02 — Review of Refusal To Accord Filing Date (Annotated Rules)

§506.02 Review of Refusal To Accord Filing Date

USPTO MPEP version: BlueIron's Update: 2025-12-31

This page consolidates and annotates all enforceable requirements under MPEP § 506.02, including statutory authority, regulatory rules, examiner guidance, and practice notes. It is provided as guidance, with links to the ground truth sources. This is information only, it is not legal advice.

Review of Refusal To Accord Filing Date

This section addresses Review of Refusal To Accord Filing Date. Primary authority: 35 U.S.C. 115, 37 CFR 1.71, and 37 CFR 1.75. Contains: 2 requirements, 1 guidance statement, 1 permission, and 3 other statements.

Key Rules

Topic

Processing Fees

3 rules
StatutoryInformativeAlways
[mpep-506-02-42ad418438fd4575f9e82a0f]
Petition for Filing Date When Deposit Missing Items
Note:
Petitioner must file a petition to assign a filing date when deposit requirements are missing, including the petition fee and any arguments that defects do not exist.

Any review of the refusal to grant a filing date as of the date of deposit of the application would be by way of petition, accompanied by the petition fee (37 CFR 1.17(f)). Petitioner should provide any arguments that he or she has that the items noted were not missing or that a filing date should be assigned in the absence of such items if they are believed to be unnecessary. If petitioner alleges that no defect exists, a request for refund of the petition fee may be included in the petition.

Jump to MPEP Source · 37 CFR 1.17(f))Processing FeesFee Requirements
StatutoryRecommendedAlways
[mpep-506-02-1f927dc55f5fd645d9e71e5a]
Petition for Assigning Filing Date Without Missing Items
Note:
Petitioner must provide arguments that items noted as missing were not actually missing and justify why a filing date should be assigned if certain items are deemed unnecessary.

Any review of the refusal to grant a filing date as of the date of deposit of the application would be by way of petition, accompanied by the petition fee (37 CFR 1.17(f)). Petitioner should provide any arguments that he or she has that the items noted were not missing or that a filing date should be assigned in the absence of such items if they are believed to be unnecessary. If petitioner alleges that no defect exists, a request for refund of the petition fee may be included in the petition.

Jump to MPEP Source · 37 CFR 1.17(f))Processing FeesFee Requirements
StatutoryPermittedAlways
[mpep-506-02-e2785f7a0c1d32b8279dc312]
Refund Request for Alleged No Defects in Filing Date Petition
Note:
A petitioner can include a request for refund of the petition fee if they allege that no defect exists regarding the refusal to grant a filing date.

Any review of the refusal to grant a filing date as of the date of deposit of the application would be by way of petition, accompanied by the petition fee (37 CFR 1.17(f)). Petitioner should provide any arguments that he or she has that the items noted were not missing or that a filing date should be assigned in the absence of such items if they are believed to be unnecessary. If petitioner alleges that no defect exists, a request for refund of the petition fee may be included in the petition.

Jump to MPEP Source · 37 CFR 1.17(f))Processing FeesFee Requirements
Topic

Certificate of Mailing

3 rules
StatutoryInformativeAlways
[mpep-506-02-41af46a9175255340dda3d29]
Filing Date for Properly Filed Saturday Priority Mail Express Applications
Note:
Determines the filing date for a patent application properly filed via Priority Mail Express on a Saturday.

For applications properly filed under 37 CFR 1.10, the filing date is the date that the application was deposited as Priority Mail Express ® in the U.S. Postal Service. For example, if a new patent application is deposited in Priority Mail Express ® in accordance with 37 CFR 1.10 on a Saturday and the United States Postal Service gives it a date of deposit of Saturday, the Office will accord and stamp the correspondence with the Saturday date. 37 CFR 1.6(a)(2). If the proper procedures were not followed, the application will receive a filing date as of the date it was received in the Office. Any review of these matters would be by way of petition, accompanied by the petition fee (37 CFR 1.17(f)), providing whatever arguments and evidence petitioner has that the application is entitled to a filing date as of the date it was deposited as Priority Mail Express ®. See MPEP § 513.

Jump to MPEP Source · 37 CFR 1.10Certificate of MailingPriority Mail ExpressCertificate of Mailing and Transmission
StatutoryInformativeAlways
[mpep-506-02-f1a49fdac145ee67bc9c501b]
Filing Date as of Priority Mail Express Deposit
Note:
Determines the filing date for applications based on when they are deposited via Priority Mail Express.

For applications properly filed under 37 CFR 1.10, the filing date is the date that the application was deposited as Priority Mail Express ® in the U.S. Postal Service. For example, if a new patent application is deposited in Priority Mail Express ® in accordance with 37 CFR 1.10 on a Saturday and the United States Postal Service gives it a date of deposit of Saturday, the Office will accord and stamp the correspondence with the Saturday date. 37 CFR 1.6(a)(2). If the proper procedures were not followed, the application will receive a filing date as of the date it was received in the Office. Any review of these matters would be by way of petition, accompanied by the petition fee (37 CFR 1.17(f)), providing whatever arguments and evidence petitioner has that the application is entitled to a filing date as of the date it was deposited as Priority Mail Express ®. See MPEP § 513.

Jump to MPEP Source · 37 CFR 1.10Certificate of MailingPriority Mail ExpressProcessing Fees
StatutoryInformativeAlways
[mpep-506-02-45244b467b73254bda9403a6]
Filing Date as Received by Office
Note:
If proper procedures were not followed, an application will receive a filing date based on when it was received at the Office.

For applications properly filed under 37 CFR 1.10, the filing date is the date that the application was deposited as Priority Mail Express ® in the U.S. Postal Service. For example, if a new patent application is deposited in Priority Mail Express ® in accordance with 37 CFR 1.10 on a Saturday and the United States Postal Service gives it a date of deposit of Saturday, the Office will accord and stamp the correspondence with the Saturday date. 37 CFR 1.6(a)(2). If the proper procedures were not followed, the application will receive a filing date as of the date it was received in the Office. Any review of these matters would be by way of petition, accompanied by the petition fee (37 CFR 1.17(f)), providing whatever arguments and evidence petitioner has that the application is entitled to a filing date as of the date it was deposited as Priority Mail Express ®. See MPEP § 513.

Jump to MPEP Source · 37 CFR 1.10Certificate of MailingPriority Mail ExpressProcessing Fees
Topic

AIA Effective Dates

2 rules
StatutoryRequiredAlways
[mpep-506-02-76e8dc60085d9976e02ecffd]
Supplemental Oath Required for Missing Items in Nonprovisional Applications Filed Before September 16, 2012
Note:
A supplemental oath or declaration is required if a nonprovisional application filed before September 16, 2012, lacks claims, specification, or drawings.

If any of these items are missing, applicant will be notified to file them and the filing date will be the date of receipt of the missing part(s). If the oath or declaration for a nonprovisional application was executed and filed with the application, a supplemental oath or declaration by the inventor is required in some circumstances if the nonprovisional application was filed before September 16, 2012, e.g., where the missing item is the claim, specification, or a drawing. The supplemental declaration must identify the missing item and indicate, as appropriate, that it accurately claims, describes, or illustrates applicant’s invention. See MPEP § 601.01(d)-(g) where the application is filed without all the pages of the specification, without at least one claim (nonprovisional design application), without drawings, or without all the figures of the drawings. For applications filed on or after September 16, 2012, the Office will not require a person who has executed an oath or declaration in compliance with 35 U.S.C. 115 and 37 CFR 1.63 or 1.162 for an application to provide an additional inventor’s oath or declaration for the application (37 CFR 1.67(c)). An error in or failure to identify inventorship does not raise a filing date issue.

Jump to MPEP Source · 37 CFR 1.63AIA Effective DatesDesign Claim FormDesign Specification
StatutoryInformativeAlways
[mpep-506-02-5e7fcde27761f706477d0351]
Inventor’s Oath Not Required After September 16, 2012
Note:
For applications filed on or after September 16, 2012, the Office will not require an additional inventor's oath or declaration if one has already been executed in compliance with specific regulations.

If any of these items are missing, applicant will be notified to file them and the filing date will be the date of receipt of the missing part(s). If the oath or declaration for a nonprovisional application was executed and filed with the application, a supplemental oath or declaration by the inventor is required in some circumstances if the nonprovisional application was filed before September 16, 2012, e.g., where the missing item is the claim, specification, or a drawing. The supplemental declaration must identify the missing item and indicate, as appropriate, that it accurately claims, describes, or illustrates applicant’s invention. See MPEP § 601.01(d)-(g) where the application is filed without all the pages of the specification, without at least one claim (nonprovisional design application), without drawings, or without all the figures of the drawings. For applications filed on or after September 16, 2012, the Office will not require a person who has executed an oath or declaration in compliance with 35 U.S.C. 115 and 37 CFR 1.63 or 1.162 for an application to provide an additional inventor’s oath or declaration for the application (37 CFR 1.67(c)). An error in or failure to identify inventorship does not raise a filing date issue.

Jump to MPEP Source · 37 CFR 1.63AIA Effective DatesAIA Oath/Declaration Requirements (37 CFR 1.63)AIA Overview and Effective Dates
Topic

Priority Mail Express

2 rules
StatutoryInformativeAlways
[mpep-506-02-fb1c569b4152f1742b4dfc1e]
Filing Date for Properly Filed Applications
Note:
The filing date is the deposit date as Priority Mail Express in the U.S. Postal Service for applications filed under 37 CFR 1.10.

For applications properly filed under 37 CFR 1.10, the filing date is the date that the application was deposited as Priority Mail Express ® in the U.S. Postal Service. For example, if a new patent application is deposited in Priority Mail Express ® in accordance with 37 CFR 1.10 on a Saturday and the United States Postal Service gives it a date of deposit of Saturday, the Office will accord and stamp the correspondence with the Saturday date. 37 CFR 1.6(a)(2). If the proper procedures were not followed, the application will receive a filing date as of the date it was received in the Office. Any review of these matters would be by way of petition, accompanied by the petition fee (37 CFR 1.17(f)), providing whatever arguments and evidence petitioner has that the application is entitled to a filing date as of the date it was deposited as Priority Mail Express ®. See MPEP § 513.

Jump to MPEP Source · 37 CFR 1.10Priority Mail ExpressCertificate of Mailing and TransmissionCertificate of Mailing
StatutoryInformativeAlways
[mpep-506-02-67d7d09e355d2db3f97d4476]
Petition for Priority Mail Express Filing Date
Note:
Allows a petition to be filed with evidence supporting an earlier filing date when the application was properly deposited as Priority Mail Express.

For applications properly filed under 37 CFR 1.10, the filing date is the date that the application was deposited as Priority Mail Express ® in the U.S. Postal Service. For example, if a new patent application is deposited in Priority Mail Express ® in accordance with 37 CFR 1.10 on a Saturday and the United States Postal Service gives it a date of deposit of Saturday, the Office will accord and stamp the correspondence with the Saturday date. 37 CFR 1.6(a)(2). If the proper procedures were not followed, the application will receive a filing date as of the date it was received in the Office. Any review of these matters would be by way of petition, accompanied by the petition fee (37 CFR 1.17(f)), providing whatever arguments and evidence petitioner has that the application is entitled to a filing date as of the date it was deposited as Priority Mail Express ®. See MPEP § 513.

Jump to MPEP Source · 37 CFR 1.10Priority Mail ExpressProcessing FeesFee Requirements
Topic

Components Required for Filing Date

1 rules
StatutoryRequiredAlways
[mpep-506-02-e20db73632d6d79ed83b4a0c]
Specification and Claims Required for Filing Date
Note:
The filing date is established by the receipt of an application containing a specification with a complete description, at least one claim (for nonprovisional design applications only), and any required drawings.

The filing date of the provisional or nonprovisional application is the date of receipt in the Office of the application which includes a specification containing description pursuant to 37 CFR 1.71 and at least one claim (required for nonprovisional design applications only) pursuant to 37 CFR 1.75, and any drawings required by 37 CFR 1.81(a). See 37 CFR 1.53(b) and (c).

Jump to MPEP Source · 37 CFR 1.71Components Required for Filing DateNonprovisional ApplicationsFiling Date Requirements
Topic

Filing Date Deficiency Notice

1 rules
StatutoryInformativeAlways
[mpep-506-02-676ef7bb15700c39c7634184]
Filing Date Deficiency Notice for Missing Items
Note:
If any required items are missing, the applicant will be notified to file them and the filing date will be based on the receipt of those missing parts.

If any of these items are missing, applicant will be notified to file them and the filing date will be the date of receipt of the missing part(s). If the oath or declaration for a nonprovisional application was executed and filed with the application, a supplemental oath or declaration by the inventor is required in some circumstances if the nonprovisional application was filed before September 16, 2012, e.g., where the missing item is the claim, specification, or a drawing. The supplemental declaration must identify the missing item and indicate, as appropriate, that it accurately claims, describes, or illustrates applicant’s invention. See MPEP § 601.01(d)-(g) where the application is filed without all the pages of the specification, without at least one claim (nonprovisional design application), without drawings, or without all the figures of the drawings. For applications filed on or after September 16, 2012, the Office will not require a person who has executed an oath or declaration in compliance with 35 U.S.C. 115 and 37 CFR 1.63 or 1.162 for an application to provide an additional inventor’s oath or declaration for the application (37 CFR 1.67(c)). An error in or failure to identify inventorship does not raise a filing date issue.

Jump to MPEP Source · 37 CFR 1.63Filing Date Deficiency NoticeAssignee as Applicant SignatureApplicant and Assignee Filing Under AIA
Topic

Design Claim Form

1 rules
StatutoryRequiredAlways
[mpep-506-02-970ac7ba2215fad222f284f5]
Supplemental Declaration for Missing Application Parts Required
Note:
Applicants must file a supplemental declaration identifying missing application parts and confirming they accurately claim, describe, or illustrate the invention.

If any of these items are missing, applicant will be notified to file them and the filing date will be the date of receipt of the missing part(s). If the oath or declaration for a nonprovisional application was executed and filed with the application, a supplemental oath or declaration by the inventor is required in some circumstances if the nonprovisional application was filed before September 16, 2012, e.g., where the missing item is the claim, specification, or a drawing. The supplemental declaration must identify the missing item and indicate, as appropriate, that it accurately claims, describes, or illustrates applicant’s invention. See MPEP § 601.01(d)-(g) where the application is filed without all the pages of the specification, without at least one claim (nonprovisional design application), without drawings, or without all the figures of the drawings. For applications filed on or after September 16, 2012, the Office will not require a person who has executed an oath or declaration in compliance with 35 U.S.C. 115 and 37 CFR 1.63 or 1.162 for an application to provide an additional inventor’s oath or declaration for the application (37 CFR 1.67(c)). An error in or failure to identify inventorship does not raise a filing date issue.

Jump to MPEP Source · 37 CFR 1.63Design Claim FormSingle Claim RequirementDesign Specification
Topic

Reissue Oath/Declaration Content

1 rules
StatutoryInformativeAlways
[mpep-506-02-851871460f91af1760818b26]
Inventorship Error Does Not Affect Filing Date
Note:
An error in inventorship does not impact the filing date of an application.

If any of these items are missing, applicant will be notified to file them and the filing date will be the date of receipt of the missing part(s). If the oath or declaration for a nonprovisional application was executed and filed with the application, a supplemental oath or declaration by the inventor is required in some circumstances if the nonprovisional application was filed before September 16, 2012, e.g., where the missing item is the claim, specification, or a drawing. The supplemental declaration must identify the missing item and indicate, as appropriate, that it accurately claims, describes, or illustrates applicant’s invention. See MPEP § 601.01(d)-(g) where the application is filed without all the pages of the specification, without at least one claim (nonprovisional design application), without drawings, or without all the figures of the drawings. For applications filed on or after September 16, 2012, the Office will not require a person who has executed an oath or declaration in compliance with 35 U.S.C. 115 and 37 CFR 1.63 or 1.162 for an application to provide an additional inventor’s oath or declaration for the application (37 CFR 1.67(c)). An error in or failure to identify inventorship does not raise a filing date issue.

Jump to MPEP Source · 37 CFR 1.63Reissue Oath/Declaration ContentFiling Date RequirementsReissue Patent Practice
Topic

Statutory Authority for Examination

1 rules
StatutoryInformativeAlways
[mpep-506-02-987db3ab43cc68646d209d16]
Petitions for Filing Dates Must Go to Deputy Commissioner Policy Office
Note:
Patent applications' filing dates disputed through petitions must be reviewed by the Office of the Deputy Commissioner for Patent Examination Policy.

Petitions relating to the filing date accorded to patent applications under 37 CFR 1.53 are decided in the Office of the Deputy Commissioner for Patent Examination Policy (See MPEP § 1002.02(b)).

Jump to MPEP Source · 37 CFR 1.53Statutory Authority for ExaminationApplication Requisites for ExaminationExamination Procedures
Topic

Director Authority and Petitions (MPEP 1000)

1 rules
StatutoryRecommendedAlways
[mpep-506-02-4d7c02f0ce457c042526a684]
Petitions Must Be Marked for Office of Petitions
Note:
Any petition under this section must be marked to the attention of the Office of Petitions.

Any petition under this section should be marked to the attention of the Office of Petitions.

Jump to MPEP SourceDirector Authority and Petitions (MPEP 1000)

Citations

Primary topicCitation
AIA Effective Dates
Design Claim Form
Filing Date Deficiency Notice
Reissue Oath/Declaration Content
35 U.S.C. § 115
Certificate of Mailing
Priority Mail Express
37 CFR § 1.10
Certificate of Mailing
Priority Mail Express
Processing Fees
37 CFR § 1.17(f)
Statutory Authority for Examination37 CFR § 1.53
Components Required for Filing Date37 CFR § 1.53(b)
Certificate of Mailing
Priority Mail Express
37 CFR § 1.6(a)(2)
AIA Effective Dates
Design Claim Form
Filing Date Deficiency Notice
Reissue Oath/Declaration Content
37 CFR § 1.63
AIA Effective Dates
Design Claim Form
Filing Date Deficiency Notice
Reissue Oath/Declaration Content
37 CFR § 1.67(c)
Components Required for Filing Date37 CFR § 1.71
Components Required for Filing Date37 CFR § 1.75
Components Required for Filing Date37 CFR § 1.81(a)
Statutory Authority for ExaminationMPEP § 1002.02(b)
Certificate of Mailing
Priority Mail Express
MPEP § 513
AIA Effective Dates
Design Claim Form
Filing Date Deficiency Notice
Reissue Oath/Declaration Content
MPEP § 601.01(d)

Source Text from USPTO’s MPEP

This is an exact copy of the MPEP from the USPTO. It is here for your reference to see the section in context.

BlueIron Last Updated: 2025-12-31