Patent Law FAQ

According to 37 CFR 1.11(a), the following patent application files are open to public inspection:

• Published applications
• Patents
• Statutory invention registrations

The public can obtain copies of these files upon payment of the fee set forth in 37 CFR 1.19(b)(2). However, if an application was published in redacted form, the complete file may not be available if certain requirements are met and the application is still pending.

The Image File Wrapper (IFW) system is an electronic system used by the USPTO to store and process patent application files. Key points about the IFW system and its impact on public access include:

• Paper components of application files are scanned to create electronic image files
• For IFW applications, the electronic file is the Official file
• No access is granted to original paper documents used to create the IFW file
• Processing and examination are conducted using electronic images
• IFW files for patented applications, published applications, or applications referenced in published documents are accessible through Patent Center on the USPTO website
• All patent applications filed after June 30, 2003, have been scanned into the IFW system

The IFW system has made it easier for the public to access eligible patent application files online through Patent Center, eliminating the need to physically inspect paper files in many cases.

A ‘file wrapper’ refers to the official record of proceedings in the United States Patent and Trademark Office (USPTO) for a particular patent application or granted patent. It contains all the documents and correspondence related to the prosecution of the application or maintenance of the patent. This includes the original application, Office actions, applicant responses, amendments, and other relevant documents. The file wrapper provides a complete history of the examination process and is important for understanding the scope and validity of a patent.

Information about reexamination proceedings is made available to the public in several ways:

1. Announcement in the Official Gazette:
   • The filing of each request for reexamination (where the full fee has been paid) is announced
   • Reexaminations ordered at the Director’s initiative are also announced
2. Public inspection of reexamination files:
   • Once scanned into the Image File Wrapper (IFW) system, reexamination files are open to public inspection
   • Files can be accessed through Patent Center on the USPTO website
   • The entire contents of the reexamination file are viewable, except for non-patent literature

Direct quote: ‘All requests for reexamination for which all the requirements of § 1.510 or § 1.915 have been satisfied will be announced in the Official Gazette. Any reexaminations at the initiative of the Director pursuant to § 1.520 will also be announced in the Official Gazette.’ (37 CFR 1.11(c))

Note that a reexamination file is typically not open to inspection until it has been scanned into the IFW system.

Certain information about patent applications is publicly available, even if the full application is not. According to 37 CFR 1.14(a)(1)(ii) and (iii), for published applications, the following information may be communicated without a petition for access:

• Whether the application is pending, abandoned, or patented
• Whether the application has been published under 35 U.S.C. 122(b)
• The application “numerical identifier” (application number or serial number plus filing date)
• Whether another application claims the benefit of the application

For published applications, “A copy of the application-as-filed, the file contents of the application, or a specific document in the file of a pending published application may be provided to any person upon request and payment of the appropriate fee set forth in §1.19(b).”

However, for unpublished applications, this information is generally not available to the public unless the application is identified or relied upon in a patent document or other published application.

For more information on patent applications, visit: patent applications.

For more information on public information, visit: public information.

Reissue application files have specific access rules as outlined in MPEP 103:

‘All reissue applications, both pending and abandoned, are open to public inspection and copying.’

This means that:

• Anyone can access reissue application files
• No special permission is required
• Both pending and abandoned reissue applications are available

However, if the reissue application contains a request for continued examination (RCE) filed on or after March 16, 2013, access to the file may be restricted until publication.

For more information on public inspection, visit: public inspection.

For more information on reissue applications, visit: reissue applications.

While most patent application files are available for public inspection, there are several exceptions:

• Pending or abandoned applications that have not been published under 35 U.S.C. 122(b)
• Applications subject to a secrecy order
• Provisional applications
• Applications that have been terminated or denied and are no longer open to public inspection
• Interference files, until judgment is entered (subject to certain exceptions)
• Applications for extension of patent term and any related submissions
• Certain trade secret, proprietary, and protective order materials

These exceptions are in place to protect confidential information and maintain the integrity of the patent application process.

While most patent application files are available for public inspection, there are some exceptions:

• Pending or abandoned applications that have not been published
• Applications subject to secrecy orders
• Certain international applications
• Applications for which the United States is not a designated country
• Information that would violate personal privacy or proprietary rights

These exceptions help protect sensitive information and maintain confidentiality in specific cases.

To request access to a patent application that is not publicly available, you generally need to file a petition for access. According to 37 CFR 1.14(a)(1)(vii), for applications that are not published, patented, or the subject of a benefit claim in a published application:

“A granted petition for access (see paragraph (i)) or a power to inspect (see paragraph (c) of this section) is necessary to obtain the application, or a copy of the application.”

To file a petition for access, you must:

• Submit the petition with the fee set forth in 37 CFR 1.17(g)
• Provide a showing that access to the application is necessary to carry out an Act of Congress or that special circumstances exist which warrant petitioner being granted access

The petition should be directed to the Office of Patent Legal Administration. The applicant will be given an opportunity to object to the granting of the petition, and the USPTO will make a determination based on the circumstances presented.

For more information on petition for access, visit: petition for access.

Any interested party may file a petition, accompanied by the petition fee, to the Director for access to an application. The petition may be filed either with proof of service of copy upon the applicant, or the petition may be filed in duplicate, in which case the duplicate copy will be sent by the Office to the applicant.

The petition should show not only why access is desired, but also why petitioner believes they are entitled to access. The applicant will normally be given a limited period such as 3 weeks within which to state any objection to the granting of the petition for access and reasons why it should be denied. If applicant states that they have no objection to the requested access, the petition will be granted. If objection is raised or applicant does not respond, the petition will be decided on the record.

To petition for access to a confidential patent application, you must file a petition under 37 CFR 1.14(i), which requires:

1. Payment of the petition fee set forth in 37 CFR 1.17(g)
2. A showing that access to the application is necessary to carry out an Act of Congress or that special circumstances exist which warrant petitioner being granted access

The petition should be filed with the Office of Patent Legal Administration, unless the application is involved in an interference or trial before the Patent Trial and Appeal Board.

You may file the petition either with proof of service upon the applicant, or in duplicate so the USPTO can send a copy to the applicant. The applicant will typically have about 3 weeks to object to the granting of access.

Direct quote: ‘Any petition by a member of the public seeking access to, or copies of, all or part of any pending or abandoned application preserved in confidence pursuant to paragraph (a) of this section, or any related papers, must include: (1) The fee set forth in § 1.17(g); and (2) A showing that access to the application is necessary to carry out an Act of Congress or that special circumstances exist which warrant petitioner being granted access to all or part of the application.’ (37 CFR 1.14(i))

To make a Freedom of Information Act (FOIA) request for USPTO records:

1. Submit a written request to the USPTO FOIA Officer:
   • Address: United States Patent and Trademark Office, P.O. Box 1450, Alexandria, Virginia 22313-1450
   • Mark the letter and envelope ‘Freedom of Information Act Request’
2. Describe the requested records in detail:
   • Include specific information such as dates, titles, names, subjects, etc.
   • Provide any known file designations or descriptions
3. If requesting records about yourself, follow additional requirements in 37 CFR 102.24
4. If requesting records about another individual, provide either:
   • A written authorization signed by that individual permitting disclosure
   • Proof that the individual is deceased (e.g., death certificate, obituary)

Direct quote: ‘A request for USPTO records that are not customarily made available to the public as part of USPTO’s regular informational services must be in writing, and shall be processed under FOIA, regardless of whether FOIA is mentioned in the request.’ (37 CFR 102.4(a))

Note: Many USPTO decisions are already available on the FOIA section of the USPTO website at www.uspto.gov/learning-and-resources/ip-policy/electronic-freedom-information-act-e-foia.

If a patent application has been published pursuant to 35 U.S.C. 122(b), then a copy of the specification, drawings, and all papers relating to the file of that published application (whether abandoned or pending) may be provided to any person upon written request and payment of the fee set forth in 37 CFR 1.19(b). See 37 CFR 1.14(a)(1)(ii) and (iii).

Published applications maintained in the Image File Wrapper (IFW) system are available on the USPTO website in Patent Center.

For patent application information not available through Public PAIR, you can submit a request to the USPTO under the Freedom of Information Act (FOIA). Here’s how to proceed:

1. Submit a written request to the USPTO’s FOIA Officer.
2. Clearly identify the records you’re seeking.
3. Explain why you believe the information should be disclosed if it’s not typically available to the public.
4. Be prepared to pay any applicable fees for search and duplication.
5. Wait for the USPTO to process your request and respond, which may take several weeks.

Note that certain information may still be withheld if it falls under FOIA exemptions or is protected by other statutes.

Access to unpublished patent application files is generally restricted. According to MPEP 103:

‘Unpublished abandoned applications are not open to public inspection.’

However, there are exceptions:

• If the application is referenced in a U.S. patent application publication or patent
• If written authority from the applicant, assignee, or attorney/agent of record is provided
• If a petition for access is granted

To request access, you may need to file a petition with the USPTO, demonstrating a need or right to access the application.

For more information on Patent application access, visit: Patent application access.

For more information on unpublished applications, visit: unpublished applications.

Access to unpublished abandoned patent applications is limited. According to 37 CFR 1.14(a)(1)(iv), the file contents of an unpublished abandoned application may be made available to the public if:

• The application is identified in a U.S. patent, statutory invention registration, U.S. patent application publication, international publication of an international application, or publication of an international registration designating the U.S.
• Benefit of the abandoned application is claimed under 35 U.S.C. 119(e), 120, 121, 365, or 386(c) in an application that has been published or patented.

To obtain access, a written request must be submitted along with payment of the appropriate fee set forth in 37 CFR 1.19(b).

Reissue application files are generally open to public inspection. According to 37 CFR 1.11(b):

• Reissue applications are open to inspection by the general public
• The filing of reissue applications (except for continued prosecution applications under 37 CFR 1.53(d)) is announced in the Official Gazette
• The announcement includes details such as filing date, reissue application and original patent numbers, title, inventor name, and examining group

For Image File Wrapper (IFW) reissue applications:

• Files are open to inspection by the general public through Patent Center via the USPTO website
• Members of the public can view the entire content of the reissue application file history online

Direct quote: ‘All reissue applications, all applications in which the Office has accepted a request to open the complete application to inspection by the public, and related papers in the application file, are open to inspection by the public, and copies may be furnished upon paying the fee therefor.’ (37 CFR 1.11(b))

Access to international application files at the USPTO is governed by specific rules. According to MPEP 103:

‘International applications that designate the U.S. and have been published in accordance with PCT Article 21(2) are generally open to public inspection and copying.’

This means:

• Published international applications designating the U.S. are accessible
• Access is available after the application’s international publication
• Unpublished international applications are not open to public inspection

To access these files, you can use the USPTO’s Public PAIR system or visit the USPTO’s Public Search Facility.

For more information on international applications, visit: international applications.

For more information on public inspection, visit: public inspection.

Access to pending unpublished patent applications is generally restricted. However, according to 37 CFR 1.14(a)(1)(v) and (vi), there are some circumstances where a copy of the file contents or the application as originally filed may be provided:

• If the benefit of the application is claimed under 35 U.S.C. 119(e), 120, 121, 365(c), or 386(c) in an application that has been published or patented.
• If the application is incorporated by reference or otherwise identified in a U.S. patent, statutory invention registration, U.S. patent application publication, international publication of an international application, or publication of an international registration designating the U.S.

In these cases, a written request must be submitted along with payment of the appropriate fee set forth in 37 CFR 1.19(b). The Office will not provide access to the paper file of a pending application, except under specific circumstances outlined in 37 CFR 1.14(c) or (i).

According to 37 CFR 1.11(a), the following patent application files are open to public inspection:

• Published applications
• Patents
• Statutory invention registrations

The public can obtain copies of these files upon payment of the fee set forth in 37 CFR 1.19(b)(2). However, if an application was published in redacted form, the complete file may not be available if certain requirements are met and the application is still pending.

The Image File Wrapper (IFW) system is an electronic system used by the USPTO to store and process patent application files. Key points about the IFW system and its impact on public access include:

• Paper components of application files are scanned to create electronic image files
• For IFW applications, the electronic file is the Official file
• No access is granted to original paper documents used to create the IFW file
• Processing and examination are conducted using electronic images
• IFW files for patented applications, published applications, or applications referenced in published documents are accessible through Patent Center on the USPTO website
• All patent applications filed after June 30, 2003, have been scanned into the IFW system

The IFW system has made it easier for the public to access eligible patent application files online through Patent Center, eliminating the need to physically inspect paper files in many cases.

A ‘file wrapper’ refers to the official record of proceedings in the United States Patent and Trademark Office (USPTO) for a particular patent application or granted patent. It contains all the documents and correspondence related to the prosecution of the application or maintenance of the patent. This includes the original application, Office actions, applicant responses, amendments, and other relevant documents. The file wrapper provides a complete history of the examination process and is important for understanding the scope and validity of a patent.

Information about reexamination proceedings is made available to the public in several ways:

1. Announcement in the Official Gazette:
   • The filing of each request for reexamination (where the full fee has been paid) is announced
   • Reexaminations ordered at the Director’s initiative are also announced
2. Public inspection of reexamination files:
   • Once scanned into the Image File Wrapper (IFW) system, reexamination files are open to public inspection
   • Files can be accessed through Patent Center on the USPTO website
   • The entire contents of the reexamination file are viewable, except for non-patent literature

Direct quote: ‘All requests for reexamination for which all the requirements of § 1.510 or § 1.915 have been satisfied will be announced in the Official Gazette. Any reexaminations at the initiative of the Director pursuant to § 1.520 will also be announced in the Official Gazette.’ (37 CFR 1.11(c))

Note that a reexamination file is typically not open to inspection until it has been scanned into the IFW system.

Certain information about patent applications is publicly available, even if the full application is not. According to 37 CFR 1.14(a)(1)(ii) and (iii), for published applications, the following information may be communicated without a petition for access:

• Whether the application is pending, abandoned, or patented
• Whether the application has been published under 35 U.S.C. 122(b)
• The application “numerical identifier” (application number or serial number plus filing date)
• Whether another application claims the benefit of the application

For published applications, “A copy of the application-as-filed, the file contents of the application, or a specific document in the file of a pending published application may be provided to any person upon request and payment of the appropriate fee set forth in §1.19(b).”

However, for unpublished applications, this information is generally not available to the public unless the application is identified or relied upon in a patent document or other published application.

For more information on patent applications, visit: patent applications.

For more information on public information, visit: public information.

Reissue application files have specific access rules as outlined in MPEP 103:

‘All reissue applications, both pending and abandoned, are open to public inspection and copying.’

This means that:

• Anyone can access reissue application files
• No special permission is required
• Both pending and abandoned reissue applications are available

However, if the reissue application contains a request for continued examination (RCE) filed on or after March 16, 2013, access to the file may be restricted until publication.

For more information on public inspection, visit: public inspection.

For more information on reissue applications, visit: reissue applications.

While most patent application files are available for public inspection, there are several exceptions:

• Pending or abandoned applications that have not been published under 35 U.S.C. 122(b)
• Applications subject to a secrecy order
• Provisional applications
• Applications that have been terminated or denied and are no longer open to public inspection
• Interference files, until judgment is entered (subject to certain exceptions)
• Applications for extension of patent term and any related submissions
• Certain trade secret, proprietary, and protective order materials

These exceptions are in place to protect confidential information and maintain the integrity of the patent application process.

While most patent application files are available for public inspection, there are some exceptions:

• Pending or abandoned applications that have not been published
• Applications subject to secrecy orders
• Certain international applications
• Applications for which the United States is not a designated country
• Information that would violate personal privacy or proprietary rights

These exceptions help protect sensitive information and maintain confidentiality in specific cases.

To request access to a patent application that is not publicly available, you generally need to file a petition for access. According to 37 CFR 1.14(a)(1)(vii), for applications that are not published, patented, or the subject of a benefit claim in a published application:

“A granted petition for access (see paragraph (i)) or a power to inspect (see paragraph (c) of this section) is necessary to obtain the application, or a copy of the application.”

To file a petition for access, you must:

• Submit the petition with the fee set forth in 37 CFR 1.17(g)
• Provide a showing that access to the application is necessary to carry out an Act of Congress or that special circumstances exist which warrant petitioner being granted access

The petition should be directed to the Office of Patent Legal Administration. The applicant will be given an opportunity to object to the granting of the petition, and the USPTO will make a determination based on the circumstances presented.

For more information on petition for access, visit: petition for access.

Any interested party may file a petition, accompanied by the petition fee, to the Director for access to an application. The petition may be filed either with proof of service of copy upon the applicant, or the petition may be filed in duplicate, in which case the duplicate copy will be sent by the Office to the applicant.

The petition should show not only why access is desired, but also why petitioner believes they are entitled to access. The applicant will normally be given a limited period such as 3 weeks within which to state any objection to the granting of the petition for access and reasons why it should be denied. If applicant states that they have no objection to the requested access, the petition will be granted. If objection is raised or applicant does not respond, the petition will be decided on the record.

To petition for access to a confidential patent application, you must file a petition under 37 CFR 1.14(i), which requires:

1. Payment of the petition fee set forth in 37 CFR 1.17(g)
2. A showing that access to the application is necessary to carry out an Act of Congress or that special circumstances exist which warrant petitioner being granted access

The petition should be filed with the Office of Patent Legal Administration, unless the application is involved in an interference or trial before the Patent Trial and Appeal Board.

You may file the petition either with proof of service upon the applicant, or in duplicate so the USPTO can send a copy to the applicant. The applicant will typically have about 3 weeks to object to the granting of access.

Direct quote: ‘Any petition by a member of the public seeking access to, or copies of, all or part of any pending or abandoned application preserved in confidence pursuant to paragraph (a) of this section, or any related papers, must include: (1) The fee set forth in § 1.17(g); and (2) A showing that access to the application is necessary to carry out an Act of Congress or that special circumstances exist which warrant petitioner being granted access to all or part of the application.’ (37 CFR 1.14(i))

To make a Freedom of Information Act (FOIA) request for USPTO records:

1. Submit a written request to the USPTO FOIA Officer:
   • Address: United States Patent and Trademark Office, P.O. Box 1450, Alexandria, Virginia 22313-1450
   • Mark the letter and envelope ‘Freedom of Information Act Request’
2. Describe the requested records in detail:
   • Include specific information such as dates, titles, names, subjects, etc.
   • Provide any known file designations or descriptions
3. If requesting records about yourself, follow additional requirements in 37 CFR 102.24
4. If requesting records about another individual, provide either:
   • A written authorization signed by that individual permitting disclosure
   • Proof that the individual is deceased (e.g., death certificate, obituary)

Direct quote: ‘A request for USPTO records that are not customarily made available to the public as part of USPTO’s regular informational services must be in writing, and shall be processed under FOIA, regardless of whether FOIA is mentioned in the request.’ (37 CFR 102.4(a))

Note: Many USPTO decisions are already available on the FOIA section of the USPTO website at www.uspto.gov/learning-and-resources/ip-policy/electronic-freedom-information-act-e-foia.

If a patent application has been published pursuant to 35 U.S.C. 122(b), then a copy of the specification, drawings, and all papers relating to the file of that published application (whether abandoned or pending) may be provided to any person upon written request and payment of the fee set forth in 37 CFR 1.19(b). See 37 CFR 1.14(a)(1)(ii) and (iii).

Published applications maintained in the Image File Wrapper (IFW) system are available on the USPTO website in Patent Center.

For patent application information not available through Public PAIR, you can submit a request to the USPTO under the Freedom of Information Act (FOIA). Here’s how to proceed:

1. Submit a written request to the USPTO’s FOIA Officer.
2. Clearly identify the records you’re seeking.
3. Explain why you believe the information should be disclosed if it’s not typically available to the public.
4. Be prepared to pay any applicable fees for search and duplication.
5. Wait for the USPTO to process your request and respond, which may take several weeks.

Note that certain information may still be withheld if it falls under FOIA exemptions or is protected by other statutes.

Access to unpublished patent application files is generally restricted. According to MPEP 103:

‘Unpublished abandoned applications are not open to public inspection.’

However, there are exceptions:

• If the application is referenced in a U.S. patent application publication or patent
• If written authority from the applicant, assignee, or attorney/agent of record is provided
• If a petition for access is granted

To request access, you may need to file a petition with the USPTO, demonstrating a need or right to access the application.

For more information on Patent application access, visit: Patent application access.

For more information on unpublished applications, visit: unpublished applications.

Access to unpublished abandoned patent applications is limited. According to 37 CFR 1.14(a)(1)(iv), the file contents of an unpublished abandoned application may be made available to the public if:

• The application is identified in a U.S. patent, statutory invention registration, U.S. patent application publication, international publication of an international application, or publication of an international registration designating the U.S.
• Benefit of the abandoned application is claimed under 35 U.S.C. 119(e), 120, 121, 365, or 386(c) in an application that has been published or patented.

To obtain access, a written request must be submitted along with payment of the appropriate fee set forth in 37 CFR 1.19(b).

Reissue application files are generally open to public inspection. According to 37 CFR 1.11(b):

• Reissue applications are open to inspection by the general public
• The filing of reissue applications (except for continued prosecution applications under 37 CFR 1.53(d)) is announced in the Official Gazette
• The announcement includes details such as filing date, reissue application and original patent numbers, title, inventor name, and examining group

For Image File Wrapper (IFW) reissue applications:

• Files are open to inspection by the general public through Patent Center via the USPTO website
• Members of the public can view the entire content of the reissue application file history online

Direct quote: ‘All reissue applications, all applications in which the Office has accepted a request to open the complete application to inspection by the public, and related papers in the application file, are open to inspection by the public, and copies may be furnished upon paying the fee therefor.’ (37 CFR 1.11(b))

Access to international application files at the USPTO is governed by specific rules. According to MPEP 103:

‘International applications that designate the U.S. and have been published in accordance with PCT Article 21(2) are generally open to public inspection and copying.’

This means:

• Published international applications designating the U.S. are accessible
• Access is available after the application’s international publication
• Unpublished international applications are not open to public inspection

To access these files, you can use the USPTO’s Public PAIR system or visit the USPTO’s Public Search Facility.

For more information on international applications, visit: international applications.

For more information on public inspection, visit: public inspection.

Access to pending unpublished patent applications is generally restricted. However, according to 37 CFR 1.14(a)(1)(v) and (vi), there are some circumstances where a copy of the file contents or the application as originally filed may be provided:

• If the benefit of the application is claimed under 35 U.S.C. 119(e), 120, 121, 365(c), or 386(c) in an application that has been published or patented.
• If the application is incorporated by reference or otherwise identified in a U.S. patent, statutory invention registration, U.S. patent application publication, international publication of an international application, or publication of an international registration designating the U.S.

In these cases, a written request must be submitted along with payment of the appropriate fee set forth in 37 CFR 1.19(b). The Office will not provide access to the paper file of a pending application, except under specific circumstances outlined in 37 CFR 1.14(c) or (i).

According to 37 CFR 1.11(a), the following patent application files are open to public inspection:

• Published applications
• Patents
• Statutory invention registrations

The public can obtain copies of these files upon payment of the fee set forth in 37 CFR 1.19(b)(2). However, if an application was published in redacted form, the complete file may not be available if certain requirements are met and the application is still pending.

The Image File Wrapper (IFW) system is an electronic system used by the USPTO to store and process patent application files. Key points about the IFW system and its impact on public access include:

• Paper components of application files are scanned to create electronic image files
• For IFW applications, the electronic file is the Official file
• No access is granted to original paper documents used to create the IFW file
• Processing and examination are conducted using electronic images
• IFW files for patented applications, published applications, or applications referenced in published documents are accessible through Patent Center on the USPTO website
• All patent applications filed after June 30, 2003, have been scanned into the IFW system

The IFW system has made it easier for the public to access eligible patent application files online through Patent Center, eliminating the need to physically inspect paper files in many cases.

A ‘file wrapper’ refers to the official record of proceedings in the United States Patent and Trademark Office (USPTO) for a particular patent application or granted patent. It contains all the documents and correspondence related to the prosecution of the application or maintenance of the patent. This includes the original application, Office actions, applicant responses, amendments, and other relevant documents. The file wrapper provides a complete history of the examination process and is important for understanding the scope and validity of a patent.

Information about reexamination proceedings is made available to the public in several ways:

1. Announcement in the Official Gazette:
   • The filing of each request for reexamination (where the full fee has been paid) is announced
   • Reexaminations ordered at the Director’s initiative are also announced
2. Public inspection of reexamination files:
   • Once scanned into the Image File Wrapper (IFW) system, reexamination files are open to public inspection
   • Files can be accessed through Patent Center on the USPTO website
   • The entire contents of the reexamination file are viewable, except for non-patent literature

Direct quote: ‘All requests for reexamination for which all the requirements of § 1.510 or § 1.915 have been satisfied will be announced in the Official Gazette. Any reexaminations at the initiative of the Director pursuant to § 1.520 will also be announced in the Official Gazette.’ (37 CFR 1.11(c))

Note that a reexamination file is typically not open to inspection until it has been scanned into the IFW system.

Certain information about patent applications is publicly available, even if the full application is not. According to 37 CFR 1.14(a)(1)(ii) and (iii), for published applications, the following information may be communicated without a petition for access:

• Whether the application is pending, abandoned, or patented
• Whether the application has been published under 35 U.S.C. 122(b)
• The application “numerical identifier” (application number or serial number plus filing date)
• Whether another application claims the benefit of the application

For published applications, “A copy of the application-as-filed, the file contents of the application, or a specific document in the file of a pending published application may be provided to any person upon request and payment of the appropriate fee set forth in §1.19(b).”

However, for unpublished applications, this information is generally not available to the public unless the application is identified or relied upon in a patent document or other published application.

For more information on patent applications, visit: patent applications.

For more information on public information, visit: public information.

Reissue application files have specific access rules as outlined in MPEP 103:

‘All reissue applications, both pending and abandoned, are open to public inspection and copying.’

This means that:

• Anyone can access reissue application files
• No special permission is required
• Both pending and abandoned reissue applications are available

However, if the reissue application contains a request for continued examination (RCE) filed on or after March 16, 2013, access to the file may be restricted until publication.

For more information on public inspection, visit: public inspection.

For more information on reissue applications, visit: reissue applications.

While most patent application files are available for public inspection, there are several exceptions:

• Pending or abandoned applications that have not been published under 35 U.S.C. 122(b)
• Applications subject to a secrecy order
• Provisional applications
• Applications that have been terminated or denied and are no longer open to public inspection
• Interference files, until judgment is entered (subject to certain exceptions)
• Applications for extension of patent term and any related submissions
• Certain trade secret, proprietary, and protective order materials

These exceptions are in place to protect confidential information and maintain the integrity of the patent application process.

While most patent application files are available for public inspection, there are some exceptions:

• Pending or abandoned applications that have not been published
• Applications subject to secrecy orders
• Certain international applications
• Applications for which the United States is not a designated country
• Information that would violate personal privacy or proprietary rights

These exceptions help protect sensitive information and maintain confidentiality in specific cases.

To request access to a patent application that is not publicly available, you generally need to file a petition for access. According to 37 CFR 1.14(a)(1)(vii), for applications that are not published, patented, or the subject of a benefit claim in a published application:

“A granted petition for access (see paragraph (i)) or a power to inspect (see paragraph (c) of this section) is necessary to obtain the application, or a copy of the application.”

To file a petition for access, you must:

• Submit the petition with the fee set forth in 37 CFR 1.17(g)
• Provide a showing that access to the application is necessary to carry out an Act of Congress or that special circumstances exist which warrant petitioner being granted access

The petition should be directed to the Office of Patent Legal Administration. The applicant will be given an opportunity to object to the granting of the petition, and the USPTO will make a determination based on the circumstances presented.

For more information on petition for access, visit: petition for access.

To petition for access to a confidential patent application, you must file a petition under 37 CFR 1.14(i), which requires:

1. Payment of the petition fee set forth in 37 CFR 1.17(g)
2. A showing that access to the application is necessary to carry out an Act of Congress or that special circumstances exist which warrant petitioner being granted access

The petition should be filed with the Office of Patent Legal Administration, unless the application is involved in an interference or trial before the Patent Trial and Appeal Board.

You may file the petition either with proof of service upon the applicant, or in duplicate so the USPTO can send a copy to the applicant. The applicant will typically have about 3 weeks to object to the granting of access.

Direct quote: ‘Any petition by a member of the public seeking access to, or copies of, all or part of any pending or abandoned application preserved in confidence pursuant to paragraph (a) of this section, or any related papers, must include: (1) The fee set forth in § 1.17(g); and (2) A showing that access to the application is necessary to carry out an Act of Congress or that special circumstances exist which warrant petitioner being granted access to all or part of the application.’ (37 CFR 1.14(i))

To make a Freedom of Information Act (FOIA) request for USPTO records:

1. Submit a written request to the USPTO FOIA Officer:
   • Address: United States Patent and Trademark Office, P.O. Box 1450, Alexandria, Virginia 22313-1450
   • Mark the letter and envelope ‘Freedom of Information Act Request’
2. Describe the requested records in detail:
   • Include specific information such as dates, titles, names, subjects, etc.
   • Provide any known file designations or descriptions
3. If requesting records about yourself, follow additional requirements in 37 CFR 102.24
4. If requesting records about another individual, provide either:
   • A written authorization signed by that individual permitting disclosure
   • Proof that the individual is deceased (e.g., death certificate, obituary)

Direct quote: ‘A request for USPTO records that are not customarily made available to the public as part of USPTO’s regular informational services must be in writing, and shall be processed under FOIA, regardless of whether FOIA is mentioned in the request.’ (37 CFR 102.4(a))

Note: Many USPTO decisions are already available on the FOIA section of the USPTO website at www.uspto.gov/learning-and-resources/ip-policy/electronic-freedom-information-act-e-foia.

For patent application information not available through Public PAIR, you can submit a request to the USPTO under the Freedom of Information Act (FOIA). Here’s how to proceed:

1. Submit a written request to the USPTO’s FOIA Officer.
2. Clearly identify the records you’re seeking.
3. Explain why you believe the information should be disclosed if it’s not typically available to the public.
4. Be prepared to pay any applicable fees for search and duplication.
5. Wait for the USPTO to process your request and respond, which may take several weeks.

Note that certain information may still be withheld if it falls under FOIA exemptions or is protected by other statutes.

Access to unpublished patent application files is generally restricted. According to MPEP 103:

‘Unpublished abandoned applications are not open to public inspection.’

However, there are exceptions:

• If the application is referenced in a U.S. patent application publication or patent
• If written authority from the applicant, assignee, or attorney/agent of record is provided
• If a petition for access is granted

To request access, you may need to file a petition with the USPTO, demonstrating a need or right to access the application.

For more information on Patent application access, visit: Patent application access.

For more information on unpublished applications, visit: unpublished applications.

Access to unpublished abandoned patent applications is limited. According to 37 CFR 1.14(a)(1)(iv), the file contents of an unpublished abandoned application may be made available to the public if:

• The application is identified in a U.S. patent, statutory invention registration, U.S. patent application publication, international publication of an international application, or publication of an international registration designating the U.S.
• Benefit of the abandoned application is claimed under 35 U.S.C. 119(e), 120, 121, 365, or 386(c) in an application that has been published or patented.

To obtain access, a written request must be submitted along with payment of the appropriate fee set forth in 37 CFR 1.19(b).

Reissue application files are generally open to public inspection. According to 37 CFR 1.11(b):

• Reissue applications are open to inspection by the general public
• The filing of reissue applications (except for continued prosecution applications under 37 CFR 1.53(d)) is announced in the Official Gazette
• The announcement includes details such as filing date, reissue application and original patent numbers, title, inventor name, and examining group

For Image File Wrapper (IFW) reissue applications:

• Files are open to inspection by the general public through Patent Center via the USPTO website
• Members of the public can view the entire content of the reissue application file history online

Direct quote: ‘All reissue applications, all applications in which the Office has accepted a request to open the complete application to inspection by the public, and related papers in the application file, are open to inspection by the public, and copies may be furnished upon paying the fee therefor.’ (37 CFR 1.11(b))

Access to international application files at the USPTO is governed by specific rules. According to MPEP 103:

‘International applications that designate the U.S. and have been published in accordance with PCT Article 21(2) are generally open to public inspection and copying.’

This means:

• Published international applications designating the U.S. are accessible
• Access is available after the application’s international publication
• Unpublished international applications are not open to public inspection

To access these files, you can use the USPTO’s Public PAIR system or visit the USPTO’s Public Search Facility.

For more information on international applications, visit: international applications.

For more information on public inspection, visit: public inspection.

Access to pending unpublished patent applications is generally restricted. However, according to 37 CFR 1.14(a)(1)(v) and (vi), there are some circumstances where a copy of the file contents or the application as originally filed may be provided:

• If the benefit of the application is claimed under 35 U.S.C. 119(e), 120, 121, 365(c), or 386(c) in an application that has been published or patented.
• If the application is incorporated by reference or otherwise identified in a U.S. patent, statutory invention registration, U.S. patent application publication, international publication of an international application, or publication of an international registration designating the U.S.

In these cases, a written request must be submitted along with payment of the appropriate fee set forth in 37 CFR 1.19(b). The Office will not provide access to the paper file of a pending application, except under specific circumstances outlined in 37 CFR 1.14(c) or (i).