Patent Law FAQ
This FAQ answers all your questions about patent law, patent procedure, and the patent examination process.
Here’s the complete FAQ:
MPEP 500 - Receipt and Handling of Mail and Papers (19)
While the Certificate of Mailing or Transmission procedure is useful for many types of USPTO correspondence, there are several exceptions. According to 37 CFR 1.8(a)(2), the procedure does not apply to:
- Filing of national patent application specifications and drawings for the purpose of obtaining an application filing date
- Filing of correspondence in an international application before the U.S. Receiving Office, U.S. International Searching Authority, or U.S. International Preliminary Examining Authority
- Filing of an international design application
- Filing a copy of an international application and the basic national fee to enter the national stage
- Filing a written declaration of abandonment under 37 CFR 1.138
It’s crucial to note that these exceptions exist to ensure certain critical documents are actually received by the USPTO before they are considered filed.
To learn more:
If you have filed correspondence with a proper Certificate of Mailing or Transmission, but the USPTO has not received it after a reasonable amount of time, you can take action under 37 CFR 1.8(b). The MPEP states:
“37 CFR 1.8(b) permits a party to notify the Office of a previous mailing through the U.S. Postal Service, or transmission by facsimile or EFS-Web, of correspondence when a reasonable amount of time has elapsed from the time of mailing or transmission of the correspondence.”
To rectify this situation:
- Promptly notify the Office of the previous mailing or transmission
- Supply a duplicate copy of the previously mailed or transmitted correspondence
- Provide a statement attesting to the previous timely mailing or transmission
It’s important to act quickly once you become aware that the Office has not received your correspondence, rather than waiting until the end of the reply period.
To learn more:
If you’ve misused a Certificate of Mailing or Transmission, it’s important to address the issue promptly and honestly. The USPTO takes the integrity of these certificates seriously. The MPEP states:
Misuse of a Certificate of Mailing under 37 CFR 1.8 or improperly claiming the benefit of 37 CFR 1.10 which appears to be more than a one-time, inadvertent error should be brought to the attention of the Office of Enrollment and Discipline.
If the misuse was a one-time, inadvertent error, you should:
- Notify the USPTO as soon as you become aware of the error.
- Provide a full explanation of the circumstances.
- If possible, submit the correct documentation or information.
- Be prepared for the possibility that your submission may be considered late, which could have consequences for your application or proceeding.
For repeated or intentional misuse, the matter may be referred to the Office of Enrollment and Discipline, which could result in more serious consequences. It’s always best to use Certificates of Mailing or Transmission carefully and honestly to maintain the integrity of the patent application process.
The purpose of a certificate of mailing or transmission in patent applications is to provide evidence of timely filing when correspondence is not received by the USPTO or is received late. As stated in MPEP 512:
The Certificate of Mailing or Transmission procedure does not apply to papers mailed in a foreign country.
This procedure allows applicants to prove that they submitted their correspondence on time, even if it’s delayed or lost in transit.
To learn more:
A Certificate of Mailing or Transmission is a procedure under 37 CFR 1.8 that allows correspondence to be considered timely filed with the USPTO if it meets certain conditions. As stated in the MPEP:
“Under 37 CFR 1.8, a person may state on certain papers directed to the Office (some exceptions are stated in 37 CFR 1.8), the date on which the paper will be deposited in the United States Postal Service, transmitted by facsimile or transmitted via the USPTO electronic filing system (EFS-Web). If the date stated is within the period for reply, the reply in most instances will be considered to be timely.”
This procedure can be crucial for meeting deadlines, even if the actual receipt of the correspondence by the USPTO occurs after the deadline.
To learn more:
If the USPTO receives a document without a date of receipt stamp, the Office will assign the document a date of receipt based on other evidence. This may include:
- The date of receipt indicated on an Express Mail label
- The date of deposit indicated on a certificate of mailing
- The date of transmission indicated on a certificate of transmission
- Other corroborating evidence, such as a postmark on an envelope
In cases where no other evidence is available, the USPTO may assign the date of receipt as the date the document was matched with the file wrapper.
If the Certificate of Mailing or Transmission is omitted from a paper, the USPTO will treat the paper as though it was not received. According to MPEP 512:
“If the certification of mailing or transmission is omitted and the paper is later received by the U.S. Patent and Trademark Office, the paper will be considered as having been filed as of the date of receipt in the Office.”
This means that without the certificate, the paper’s filing date will be the actual date it’s received by the USPTO, which could potentially be later than intended and may have significant consequences for patent applications or other time-sensitive submissions.
To learn more:
If correspondence with a Certificate of Mailing or Transmission is not received by the USPTO after a reasonable amount of time, you can take steps to notify the Office and provide evidence of the previous timely filing. According to 37 CFR 1.8(b):
In the event that correspondence is considered timely filed by being mailed or transmitted in accordance with paragraph (a) of this section, but not received in the U.S. Patent and Trademark Office after a reasonable amount of time has elapsed from the time of mailing or transmitting of the correspondence […] the correspondence will be considered timely if the party who forwarded such correspondence: (1) Informs the Office of the previous mailing or transmission of the correspondence promptly after becoming aware that the Office has no evidence of receipt of the correspondence; (2) Supplies an additional copy of the previously mailed or transmitted correspondence and certificate; and (3) Includes a statement that attests on a personal knowledge basis or to the satisfaction of the Director to the previous timely mailing, transmission or submission.
It’s recommended to check the private Patent Application Information Retrieval (PAIR) System first to see if the correspondence has been entered into the application file before notifying the Office.
What are the requirements for certificate of mailing or transmission?
The certificate of mailing or transmission is an important tool for securing a filing date with the USPTO. According to MPEP 502, the requirements are:
“The certification requires a signature. Specifically, if the certification is filed by a registered practitioner, it must be signed by that practitioner personally. 37 CFR 1.8(a)(2). If the certification is filed by an applicant, it must be signed by the applicant (except where an oath or declaration is not required, in which case the certification may be signed by a registered practitioner). 37 CFR 1.8(a)(2).”
Key points to remember:
- The certificate must include the date of deposit or transmission.
- It must be signed by the person mailing or transmitting the correspondence.
- For registered practitioners, personal signature is required.
- For applicants, their signature is required unless an oath/declaration is not needed.
Proper use of this certificate can help ensure your documents are considered timely filed, even if there are postal or transmission delays.
For more information on Certificate of Mailing, visit: Certificate of Mailing.
For more information on Certificate of Transmission, visit: Certificate of Transmission.
For more information on USPTO correspondence, visit: USPTO correspondence.
The USPTO has specific procedures for handling papers that include a Certificate of Mailing or Transmission. According to the MPEP:
“The Mail Center of the Office of Patent Application Processing (OPAP) will continue to date stamp the actual date of receipt of all papers received by mail in the Office. No attempt will be made to retain the envelopes in which the papers are received or to indicate on the papers the postal cancellation date (postmark).”
Key points in the USPTO’s handling process include:
- The actual receipt date is stamped on all papers
- The date on the Certificate is used to determine if the paper was filed within the period for reply
- If the paper is received after the period for reply, but the Certificate date is within the period, the paper is considered timely filed
- A notation (e.g., “C of Mail 11/10/97”) is made next to the Office Date Stamp to indicate the Certificate date
It’s important to note that while the Certificate date is used to determine timeliness, the actual receipt date is used for all other purposes, including calculating subsequent deadlines.
To learn more:
The USPTO has specific procedures for handling correspondence with a Certificate of Mailing or Transmission:
- All papers received by mail are date stamped with the actual date of receipt, regardless of any Certificate of Mailing.
- For papers with a Certificate of Mailing or Transmission, the date on the certificate is used to determine if the paper was filed within the period for reply.
- If the paper is received within the period for reply, the actual receipt date is used for all purposes.
- If the paper is received after the period for reply, but the certificate date is within the period, the paper is considered timely filed. In this case, a notation is made next to the ‘Office Date’ stamp indicating the certificate date (e.g., ‘C of Mail 11/10/97’).
- For facsimile transmissions, the date stamped is the date the complete transmission is received, unless that date is a Saturday, Sunday, or Federal holiday within the District of Columbia, in which case the date stamped will be the next succeeding business day.
- For EFS-Web submissions, the receipt date is the date the correspondence is received at the USPTO’s correspondence address when it was officially submitted, which can include weekends and holidays.
The MPEP states: “The date indicated on the Certificate of Mailing or of Transmission will be used by the Office only to determine if the paper was deposited in the United States Postal Service, transmitted by facsimile or transmitted via EFS-Web within the period for reply.”
The Certificate of Mailing or Transmission can significantly affect the timeliness of USPTO submissions. According to MPEP 512:
“The date indicated on the Certificate of Mailing or Transmission will be used by the Office as the date of receipt of the paper or fee.”
This means that even if there are delays in postal or electronic transmission, your submission will be considered timely if the certificate date is within the required deadline. However, it’s important to note that the actual mailing or transmission must occur on or before the certificate date. False certificates can lead to serious consequences, including invalidation of the submission and potential disciplinary action.
To learn more:
The Certificate of Mailing or Transmission can affect filing date calculations in several ways:
- For timely filing: If a paper with a certificate is received after a deadline but the certificate date is within the deadline, the paper is considered timely filed. The MPEP states: “If the date stated is within the period for reply, the reply in most instances will be considered to be timely.”
- For actual receipt date: The USPTO will continue to stamp the actual date of receipt on all papers. According to the MPEP: “The receipt date stamped on all papers will also be the date which is entered on Office records and from which any subsequent periods are calculated.”
- For subsequent deadlines: If a paper starts a new period for reply, that period is calculated from the actual receipt date, not the certificate date. For example: “If the last day to reply to a final Office action was November 10, 2014, and applicant deposited a Notice of Appeal with fee in the U.S. mail on November 10, 2014, and so certified, that appeal is timely even if it was not received in the U.S. Patent and Trademark Office until November 12, 2014. Since the date of receipt of the notice of appeal will be used to calculate the time at which the brief is due, the brief was due on January 12, 2015.”
It’s important to note that while the certificate can establish timely filing, it doesn’t change the actual receipt date for other USPTO processing purposes.
To use a Certificate of Mailing or Transmission, you must include a signed certification with your correspondence. The MPEP provides suggested formats for these certificates:
“The following are suggested formats for either a Certificate of Mailing or Certificate of Transmission under 37 CFR 1.8(a). The certification may be included with all correspondence concerning this application or proceeding to establish a date of mailing or transmission under 37 CFR 1.8(a).”
The certificate should include:
- A statement certifying the date of mailing or transmission
- The signature of the person making the certification
- The application number (if known)
It’s important to note that the certificate must be signed by someone with a reasonable basis to expect the correspondence would be mailed or transmitted on or before the date indicated.
To learn more:
The Certificate of Mailing procedure does not apply to papers mailed from a foreign country. However, the Certificate of Transmission procedure can be used for correspondence transmitted to the USPTO from a foreign country, with some conditions. The MPEP states:
The Certificate of Transmission procedure for both facsimile transmissions and transmissions via EFS-Web, however, also applies to papers transmitted to the Office from a foreign country provided that the correspondence being transmitted is not prohibited from being transmitted by facsimile or via EFS-Web and is not otherwise precluded from receiving the benefits under 37 CFR 1.8.
This means that while you can’t use a Certificate of Mailing for papers sent by postal mail from outside the United States, you can use a Certificate of Transmission for faxes or EFS-Web submissions from foreign countries, as long as the specific type of correspondence is eligible for the certificate procedure.
The use of a Certificate of Mailing or Transmission for international patent applications is limited and depends on the specific type of correspondence. According to the MPEP and 37 CFR 1.8(a)(2)(i)(D)-(F), the certificate procedure does not apply to:
- The filing of an international application for patent
- The filing of correspondence in an international application before the U.S. Receiving Office, the U.S. International Searching Authority, or the U.S. International Preliminary Examining Authority
- The filing of a copy of the international application and the basic national fee necessary to enter the national stage
However, the Certificate of Transmission procedure can be used for some correspondence related to international applications if it’s being transmitted to the USPTO and is not otherwise prohibited. The MPEP states:
The Certificate of Transmission procedure for both facsimile transmissions and transmissions via EFS-Web, however, also applies to papers transmitted to the Office from a foreign country provided that the correspondence being transmitted is not prohibited from being transmitted by facsimile or via EFS-Web and is not otherwise precluded from receiving the benefits under 37 CFR 1.8.
It’s crucial to carefully review the specific requirements and limitations for international application correspondence to ensure proper and timely filing.
Yes, you can use a Certificate of Transmission for documents filed electronically through the USPTO’s Electronic Filing System (EFS-Web). The MPEP provides a suggested format for a Certificate of EFS-Web Transmission:
I hereby certify that this correspondence is being transmitted via the U.S. Patent and Trademark Office electronic filing system (EFS-Web) to the USPTO on [Date].
However, it’s important to note that EFS-Web submissions have their own timestamp system. According to 37 CFR 1.6(a)(4):
Correspondence submitted to the Office by way of the Office electronic filing system will be accorded a receipt date, which is the date the correspondence is received at the correspondence address for the Office set forth in § 1.1 when it was officially submitted.
This date can be a Saturday, Sunday, or federal holiday within the District of Columbia. The certificate can provide an additional layer of documentation for your submission date, but the EFS-Web timestamp is generally considered authoritative for determining the receipt date of electronic submissions.
The use of a Certificate of Mailing or Transmission for correspondence from outside the United States depends on the method of transmission. The MPEP clarifies:
“The Certificate of Mailing procedure does not apply to papers mailed in a foreign country. The Certificate of Transmission procedure for both facsimile transmissions and transmissions via EFS-Web, however, also applies to papers transmitted to the Office from a foreign country provided that the correspondence being transmitted is not prohibited from being transmitted by facsimile or via EFS-Web and is not otherwise precluded from receiving the benefits under 37 CFR 1.8.”
Therefore:
- You cannot use a Certificate of Mailing for papers mailed from outside the U.S.
- You can use a Certificate of Transmission for facsimile or EFS-Web transmissions from outside the U.S., as long as the correspondence is eligible for this procedure.
It’s important to verify that your specific type of correspondence is eligible for the Certificate of Transmission procedure before using it from outside the United States.
To learn more:
No, the Certificate of Mailing or Transmission cannot be used for all USPTO correspondence. The MPEP 512 specifies certain types of correspondence that are excluded from the certificate practice:
“The Certificate of Mailing or Transmission procedure does not apply to: (A) Relative to Patents and Patent Applications— (1) The filing of a national patent application specification and drawing or other correspondence for the purpose of obtaining an application filing date…”
The MPEP lists several other exclusions, including certain international application filings, trademark-related filings, and correspondence filed in interference or trial proceedings. It’s crucial to review the full list in MPEP 512 to ensure compliance with USPTO rules.
To learn more:
MPEP 502 - Depositing Correspondence (1)
What are the requirements for certificate of mailing or transmission?
The certificate of mailing or transmission is an important tool for securing a filing date with the USPTO. According to MPEP 502, the requirements are:
“The certification requires a signature. Specifically, if the certification is filed by a registered practitioner, it must be signed by that practitioner personally. 37 CFR 1.8(a)(2). If the certification is filed by an applicant, it must be signed by the applicant (except where an oath or declaration is not required, in which case the certification may be signed by a registered practitioner). 37 CFR 1.8(a)(2).”
Key points to remember:
- The certificate must include the date of deposit or transmission.
- It must be signed by the person mailing or transmitting the correspondence.
- For registered practitioners, personal signature is required.
- For applicants, their signature is required unless an oath/declaration is not needed.
Proper use of this certificate can help ensure your documents are considered timely filed, even if there are postal or transmission delays.
For more information on Certificate of Mailing, visit: Certificate of Mailing.
For more information on Certificate of Transmission, visit: Certificate of Transmission.
For more information on USPTO correspondence, visit: USPTO correspondence.
MPEP 505 - Date of Receipt Stamp (1)
If the USPTO receives a document without a date of receipt stamp, the Office will assign the document a date of receipt based on other evidence. This may include:
- The date of receipt indicated on an Express Mail label
- The date of deposit indicated on a certificate of mailing
- The date of transmission indicated on a certificate of transmission
- Other corroborating evidence, such as a postmark on an envelope
In cases where no other evidence is available, the USPTO may assign the date of receipt as the date the document was matched with the file wrapper.
MPEP 512 - Certificate of Mailing or Transmission (17)
While the Certificate of Mailing or Transmission procedure is useful for many types of USPTO correspondence, there are several exceptions. According to 37 CFR 1.8(a)(2), the procedure does not apply to:
- Filing of national patent application specifications and drawings for the purpose of obtaining an application filing date
- Filing of correspondence in an international application before the U.S. Receiving Office, U.S. International Searching Authority, or U.S. International Preliminary Examining Authority
- Filing of an international design application
- Filing a copy of an international application and the basic national fee to enter the national stage
- Filing a written declaration of abandonment under 37 CFR 1.138
It’s crucial to note that these exceptions exist to ensure certain critical documents are actually received by the USPTO before they are considered filed.
To learn more:
If you have filed correspondence with a proper Certificate of Mailing or Transmission, but the USPTO has not received it after a reasonable amount of time, you can take action under 37 CFR 1.8(b). The MPEP states:
“37 CFR 1.8(b) permits a party to notify the Office of a previous mailing through the U.S. Postal Service, or transmission by facsimile or EFS-Web, of correspondence when a reasonable amount of time has elapsed from the time of mailing or transmission of the correspondence.”
To rectify this situation:
- Promptly notify the Office of the previous mailing or transmission
- Supply a duplicate copy of the previously mailed or transmitted correspondence
- Provide a statement attesting to the previous timely mailing or transmission
It’s important to act quickly once you become aware that the Office has not received your correspondence, rather than waiting until the end of the reply period.
To learn more:
If you’ve misused a Certificate of Mailing or Transmission, it’s important to address the issue promptly and honestly. The USPTO takes the integrity of these certificates seriously. The MPEP states:
Misuse of a Certificate of Mailing under 37 CFR 1.8 or improperly claiming the benefit of 37 CFR 1.10 which appears to be more than a one-time, inadvertent error should be brought to the attention of the Office of Enrollment and Discipline.
If the misuse was a one-time, inadvertent error, you should:
- Notify the USPTO as soon as you become aware of the error.
- Provide a full explanation of the circumstances.
- If possible, submit the correct documentation or information.
- Be prepared for the possibility that your submission may be considered late, which could have consequences for your application or proceeding.
For repeated or intentional misuse, the matter may be referred to the Office of Enrollment and Discipline, which could result in more serious consequences. It’s always best to use Certificates of Mailing or Transmission carefully and honestly to maintain the integrity of the patent application process.
The purpose of a certificate of mailing or transmission in patent applications is to provide evidence of timely filing when correspondence is not received by the USPTO or is received late. As stated in MPEP 512:
The Certificate of Mailing or Transmission procedure does not apply to papers mailed in a foreign country.
This procedure allows applicants to prove that they submitted their correspondence on time, even if it’s delayed or lost in transit.
To learn more:
A Certificate of Mailing or Transmission is a procedure under 37 CFR 1.8 that allows correspondence to be considered timely filed with the USPTO if it meets certain conditions. As stated in the MPEP:
“Under 37 CFR 1.8, a person may state on certain papers directed to the Office (some exceptions are stated in 37 CFR 1.8), the date on which the paper will be deposited in the United States Postal Service, transmitted by facsimile or transmitted via the USPTO electronic filing system (EFS-Web). If the date stated is within the period for reply, the reply in most instances will be considered to be timely.”
This procedure can be crucial for meeting deadlines, even if the actual receipt of the correspondence by the USPTO occurs after the deadline.
To learn more:
If the Certificate of Mailing or Transmission is omitted from a paper, the USPTO will treat the paper as though it was not received. According to MPEP 512:
“If the certification of mailing or transmission is omitted and the paper is later received by the U.S. Patent and Trademark Office, the paper will be considered as having been filed as of the date of receipt in the Office.”
This means that without the certificate, the paper’s filing date will be the actual date it’s received by the USPTO, which could potentially be later than intended and may have significant consequences for patent applications or other time-sensitive submissions.
To learn more:
If correspondence with a Certificate of Mailing or Transmission is not received by the USPTO after a reasonable amount of time, you can take steps to notify the Office and provide evidence of the previous timely filing. According to 37 CFR 1.8(b):
In the event that correspondence is considered timely filed by being mailed or transmitted in accordance with paragraph (a) of this section, but not received in the U.S. Patent and Trademark Office after a reasonable amount of time has elapsed from the time of mailing or transmitting of the correspondence […] the correspondence will be considered timely if the party who forwarded such correspondence: (1) Informs the Office of the previous mailing or transmission of the correspondence promptly after becoming aware that the Office has no evidence of receipt of the correspondence; (2) Supplies an additional copy of the previously mailed or transmitted correspondence and certificate; and (3) Includes a statement that attests on a personal knowledge basis or to the satisfaction of the Director to the previous timely mailing, transmission or submission.
It’s recommended to check the private Patent Application Information Retrieval (PAIR) System first to see if the correspondence has been entered into the application file before notifying the Office.
The USPTO has specific procedures for handling papers that include a Certificate of Mailing or Transmission. According to the MPEP:
“The Mail Center of the Office of Patent Application Processing (OPAP) will continue to date stamp the actual date of receipt of all papers received by mail in the Office. No attempt will be made to retain the envelopes in which the papers are received or to indicate on the papers the postal cancellation date (postmark).”
Key points in the USPTO’s handling process include:
- The actual receipt date is stamped on all papers
- The date on the Certificate is used to determine if the paper was filed within the period for reply
- If the paper is received after the period for reply, but the Certificate date is within the period, the paper is considered timely filed
- A notation (e.g., “C of Mail 11/10/97”) is made next to the Office Date Stamp to indicate the Certificate date
It’s important to note that while the Certificate date is used to determine timeliness, the actual receipt date is used for all other purposes, including calculating subsequent deadlines.
To learn more:
The USPTO has specific procedures for handling correspondence with a Certificate of Mailing or Transmission:
- All papers received by mail are date stamped with the actual date of receipt, regardless of any Certificate of Mailing.
- For papers with a Certificate of Mailing or Transmission, the date on the certificate is used to determine if the paper was filed within the period for reply.
- If the paper is received within the period for reply, the actual receipt date is used for all purposes.
- If the paper is received after the period for reply, but the certificate date is within the period, the paper is considered timely filed. In this case, a notation is made next to the ‘Office Date’ stamp indicating the certificate date (e.g., ‘C of Mail 11/10/97’).
- For facsimile transmissions, the date stamped is the date the complete transmission is received, unless that date is a Saturday, Sunday, or Federal holiday within the District of Columbia, in which case the date stamped will be the next succeeding business day.
- For EFS-Web submissions, the receipt date is the date the correspondence is received at the USPTO’s correspondence address when it was officially submitted, which can include weekends and holidays.
The MPEP states: “The date indicated on the Certificate of Mailing or of Transmission will be used by the Office only to determine if the paper was deposited in the United States Postal Service, transmitted by facsimile or transmitted via EFS-Web within the period for reply.”
The Certificate of Mailing or Transmission can significantly affect the timeliness of USPTO submissions. According to MPEP 512:
“The date indicated on the Certificate of Mailing or Transmission will be used by the Office as the date of receipt of the paper or fee.”
This means that even if there are delays in postal or electronic transmission, your submission will be considered timely if the certificate date is within the required deadline. However, it’s important to note that the actual mailing or transmission must occur on or before the certificate date. False certificates can lead to serious consequences, including invalidation of the submission and potential disciplinary action.
To learn more:
The Certificate of Mailing or Transmission can affect filing date calculations in several ways:
- For timely filing: If a paper with a certificate is received after a deadline but the certificate date is within the deadline, the paper is considered timely filed. The MPEP states: “If the date stated is within the period for reply, the reply in most instances will be considered to be timely.”
- For actual receipt date: The USPTO will continue to stamp the actual date of receipt on all papers. According to the MPEP: “The receipt date stamped on all papers will also be the date which is entered on Office records and from which any subsequent periods are calculated.”
- For subsequent deadlines: If a paper starts a new period for reply, that period is calculated from the actual receipt date, not the certificate date. For example: “If the last day to reply to a final Office action was November 10, 2014, and applicant deposited a Notice of Appeal with fee in the U.S. mail on November 10, 2014, and so certified, that appeal is timely even if it was not received in the U.S. Patent and Trademark Office until November 12, 2014. Since the date of receipt of the notice of appeal will be used to calculate the time at which the brief is due, the brief was due on January 12, 2015.”
It’s important to note that while the certificate can establish timely filing, it doesn’t change the actual receipt date for other USPTO processing purposes.
To use a Certificate of Mailing or Transmission, you must include a signed certification with your correspondence. The MPEP provides suggested formats for these certificates:
“The following are suggested formats for either a Certificate of Mailing or Certificate of Transmission under 37 CFR 1.8(a). The certification may be included with all correspondence concerning this application or proceeding to establish a date of mailing or transmission under 37 CFR 1.8(a).”
The certificate should include:
- A statement certifying the date of mailing or transmission
- The signature of the person making the certification
- The application number (if known)
It’s important to note that the certificate must be signed by someone with a reasonable basis to expect the correspondence would be mailed or transmitted on or before the date indicated.
To learn more:
The Certificate of Mailing procedure does not apply to papers mailed from a foreign country. However, the Certificate of Transmission procedure can be used for correspondence transmitted to the USPTO from a foreign country, with some conditions. The MPEP states:
The Certificate of Transmission procedure for both facsimile transmissions and transmissions via EFS-Web, however, also applies to papers transmitted to the Office from a foreign country provided that the correspondence being transmitted is not prohibited from being transmitted by facsimile or via EFS-Web and is not otherwise precluded from receiving the benefits under 37 CFR 1.8.
This means that while you can’t use a Certificate of Mailing for papers sent by postal mail from outside the United States, you can use a Certificate of Transmission for faxes or EFS-Web submissions from foreign countries, as long as the specific type of correspondence is eligible for the certificate procedure.
The use of a Certificate of Mailing or Transmission for international patent applications is limited and depends on the specific type of correspondence. According to the MPEP and 37 CFR 1.8(a)(2)(i)(D)-(F), the certificate procedure does not apply to:
- The filing of an international application for patent
- The filing of correspondence in an international application before the U.S. Receiving Office, the U.S. International Searching Authority, or the U.S. International Preliminary Examining Authority
- The filing of a copy of the international application and the basic national fee necessary to enter the national stage
However, the Certificate of Transmission procedure can be used for some correspondence related to international applications if it’s being transmitted to the USPTO and is not otherwise prohibited. The MPEP states:
The Certificate of Transmission procedure for both facsimile transmissions and transmissions via EFS-Web, however, also applies to papers transmitted to the Office from a foreign country provided that the correspondence being transmitted is not prohibited from being transmitted by facsimile or via EFS-Web and is not otherwise precluded from receiving the benefits under 37 CFR 1.8.
It’s crucial to carefully review the specific requirements and limitations for international application correspondence to ensure proper and timely filing.
Yes, you can use a Certificate of Transmission for documents filed electronically through the USPTO’s Electronic Filing System (EFS-Web). The MPEP provides a suggested format for a Certificate of EFS-Web Transmission:
I hereby certify that this correspondence is being transmitted via the U.S. Patent and Trademark Office electronic filing system (EFS-Web) to the USPTO on [Date].
However, it’s important to note that EFS-Web submissions have their own timestamp system. According to 37 CFR 1.6(a)(4):
Correspondence submitted to the Office by way of the Office electronic filing system will be accorded a receipt date, which is the date the correspondence is received at the correspondence address for the Office set forth in § 1.1 when it was officially submitted.
This date can be a Saturday, Sunday, or federal holiday within the District of Columbia. The certificate can provide an additional layer of documentation for your submission date, but the EFS-Web timestamp is generally considered authoritative for determining the receipt date of electronic submissions.
The use of a Certificate of Mailing or Transmission for correspondence from outside the United States depends on the method of transmission. The MPEP clarifies:
“The Certificate of Mailing procedure does not apply to papers mailed in a foreign country. The Certificate of Transmission procedure for both facsimile transmissions and transmissions via EFS-Web, however, also applies to papers transmitted to the Office from a foreign country provided that the correspondence being transmitted is not prohibited from being transmitted by facsimile or via EFS-Web and is not otherwise precluded from receiving the benefits under 37 CFR 1.8.”
Therefore:
- You cannot use a Certificate of Mailing for papers mailed from outside the U.S.
- You can use a Certificate of Transmission for facsimile or EFS-Web transmissions from outside the U.S., as long as the correspondence is eligible for this procedure.
It’s important to verify that your specific type of correspondence is eligible for the Certificate of Transmission procedure before using it from outside the United States.
To learn more:
No, the Certificate of Mailing or Transmission cannot be used for all USPTO correspondence. The MPEP 512 specifies certain types of correspondence that are excluded from the certificate practice:
“The Certificate of Mailing or Transmission procedure does not apply to: (A) Relative to Patents and Patent Applications— (1) The filing of a national patent application specification and drawing or other correspondence for the purpose of obtaining an application filing date…”
The MPEP lists several other exclusions, including certain international application filings, trademark-related filings, and correspondence filed in interference or trial proceedings. It’s crucial to review the full list in MPEP 512 to ensure compliance with USPTO rules.
To learn more:
Patent Law (19)
While the Certificate of Mailing or Transmission procedure is useful for many types of USPTO correspondence, there are several exceptions. According to 37 CFR 1.8(a)(2), the procedure does not apply to:
- Filing of national patent application specifications and drawings for the purpose of obtaining an application filing date
- Filing of correspondence in an international application before the U.S. Receiving Office, U.S. International Searching Authority, or U.S. International Preliminary Examining Authority
- Filing of an international design application
- Filing a copy of an international application and the basic national fee to enter the national stage
- Filing a written declaration of abandonment under 37 CFR 1.138
It’s crucial to note that these exceptions exist to ensure certain critical documents are actually received by the USPTO before they are considered filed.
To learn more:
If you have filed correspondence with a proper Certificate of Mailing or Transmission, but the USPTO has not received it after a reasonable amount of time, you can take action under 37 CFR 1.8(b). The MPEP states:
“37 CFR 1.8(b) permits a party to notify the Office of a previous mailing through the U.S. Postal Service, or transmission by facsimile or EFS-Web, of correspondence when a reasonable amount of time has elapsed from the time of mailing or transmission of the correspondence.”
To rectify this situation:
- Promptly notify the Office of the previous mailing or transmission
- Supply a duplicate copy of the previously mailed or transmitted correspondence
- Provide a statement attesting to the previous timely mailing or transmission
It’s important to act quickly once you become aware that the Office has not received your correspondence, rather than waiting until the end of the reply period.
To learn more:
If you’ve misused a Certificate of Mailing or Transmission, it’s important to address the issue promptly and honestly. The USPTO takes the integrity of these certificates seriously. The MPEP states:
Misuse of a Certificate of Mailing under 37 CFR 1.8 or improperly claiming the benefit of 37 CFR 1.10 which appears to be more than a one-time, inadvertent error should be brought to the attention of the Office of Enrollment and Discipline.
If the misuse was a one-time, inadvertent error, you should:
- Notify the USPTO as soon as you become aware of the error.
- Provide a full explanation of the circumstances.
- If possible, submit the correct documentation or information.
- Be prepared for the possibility that your submission may be considered late, which could have consequences for your application or proceeding.
For repeated or intentional misuse, the matter may be referred to the Office of Enrollment and Discipline, which could result in more serious consequences. It’s always best to use Certificates of Mailing or Transmission carefully and honestly to maintain the integrity of the patent application process.
The purpose of a certificate of mailing or transmission in patent applications is to provide evidence of timely filing when correspondence is not received by the USPTO or is received late. As stated in MPEP 512:
The Certificate of Mailing or Transmission procedure does not apply to papers mailed in a foreign country.
This procedure allows applicants to prove that they submitted their correspondence on time, even if it’s delayed or lost in transit.
To learn more:
A Certificate of Mailing or Transmission is a procedure under 37 CFR 1.8 that allows correspondence to be considered timely filed with the USPTO if it meets certain conditions. As stated in the MPEP:
“Under 37 CFR 1.8, a person may state on certain papers directed to the Office (some exceptions are stated in 37 CFR 1.8), the date on which the paper will be deposited in the United States Postal Service, transmitted by facsimile or transmitted via the USPTO electronic filing system (EFS-Web). If the date stated is within the period for reply, the reply in most instances will be considered to be timely.”
This procedure can be crucial for meeting deadlines, even if the actual receipt of the correspondence by the USPTO occurs after the deadline.
To learn more:
If the USPTO receives a document without a date of receipt stamp, the Office will assign the document a date of receipt based on other evidence. This may include:
- The date of receipt indicated on an Express Mail label
- The date of deposit indicated on a certificate of mailing
- The date of transmission indicated on a certificate of transmission
- Other corroborating evidence, such as a postmark on an envelope
In cases where no other evidence is available, the USPTO may assign the date of receipt as the date the document was matched with the file wrapper.
If the Certificate of Mailing or Transmission is omitted from a paper, the USPTO will treat the paper as though it was not received. According to MPEP 512:
“If the certification of mailing or transmission is omitted and the paper is later received by the U.S. Patent and Trademark Office, the paper will be considered as having been filed as of the date of receipt in the Office.”
This means that without the certificate, the paper’s filing date will be the actual date it’s received by the USPTO, which could potentially be later than intended and may have significant consequences for patent applications or other time-sensitive submissions.
To learn more:
If correspondence with a Certificate of Mailing or Transmission is not received by the USPTO after a reasonable amount of time, you can take steps to notify the Office and provide evidence of the previous timely filing. According to 37 CFR 1.8(b):
In the event that correspondence is considered timely filed by being mailed or transmitted in accordance with paragraph (a) of this section, but not received in the U.S. Patent and Trademark Office after a reasonable amount of time has elapsed from the time of mailing or transmitting of the correspondence […] the correspondence will be considered timely if the party who forwarded such correspondence: (1) Informs the Office of the previous mailing or transmission of the correspondence promptly after becoming aware that the Office has no evidence of receipt of the correspondence; (2) Supplies an additional copy of the previously mailed or transmitted correspondence and certificate; and (3) Includes a statement that attests on a personal knowledge basis or to the satisfaction of the Director to the previous timely mailing, transmission or submission.
It’s recommended to check the private Patent Application Information Retrieval (PAIR) System first to see if the correspondence has been entered into the application file before notifying the Office.
What are the requirements for certificate of mailing or transmission?
The certificate of mailing or transmission is an important tool for securing a filing date with the USPTO. According to MPEP 502, the requirements are:
“The certification requires a signature. Specifically, if the certification is filed by a registered practitioner, it must be signed by that practitioner personally. 37 CFR 1.8(a)(2). If the certification is filed by an applicant, it must be signed by the applicant (except where an oath or declaration is not required, in which case the certification may be signed by a registered practitioner). 37 CFR 1.8(a)(2).”
Key points to remember:
- The certificate must include the date of deposit or transmission.
- It must be signed by the person mailing or transmitting the correspondence.
- For registered practitioners, personal signature is required.
- For applicants, their signature is required unless an oath/declaration is not needed.
Proper use of this certificate can help ensure your documents are considered timely filed, even if there are postal or transmission delays.
For more information on Certificate of Mailing, visit: Certificate of Mailing.
For more information on Certificate of Transmission, visit: Certificate of Transmission.
For more information on USPTO correspondence, visit: USPTO correspondence.
The USPTO has specific procedures for handling papers that include a Certificate of Mailing or Transmission. According to the MPEP:
“The Mail Center of the Office of Patent Application Processing (OPAP) will continue to date stamp the actual date of receipt of all papers received by mail in the Office. No attempt will be made to retain the envelopes in which the papers are received or to indicate on the papers the postal cancellation date (postmark).”
Key points in the USPTO’s handling process include:
- The actual receipt date is stamped on all papers
- The date on the Certificate is used to determine if the paper was filed within the period for reply
- If the paper is received after the period for reply, but the Certificate date is within the period, the paper is considered timely filed
- A notation (e.g., “C of Mail 11/10/97”) is made next to the Office Date Stamp to indicate the Certificate date
It’s important to note that while the Certificate date is used to determine timeliness, the actual receipt date is used for all other purposes, including calculating subsequent deadlines.
To learn more:
The USPTO has specific procedures for handling correspondence with a Certificate of Mailing or Transmission:
- All papers received by mail are date stamped with the actual date of receipt, regardless of any Certificate of Mailing.
- For papers with a Certificate of Mailing or Transmission, the date on the certificate is used to determine if the paper was filed within the period for reply.
- If the paper is received within the period for reply, the actual receipt date is used for all purposes.
- If the paper is received after the period for reply, but the certificate date is within the period, the paper is considered timely filed. In this case, a notation is made next to the ‘Office Date’ stamp indicating the certificate date (e.g., ‘C of Mail 11/10/97’).
- For facsimile transmissions, the date stamped is the date the complete transmission is received, unless that date is a Saturday, Sunday, or Federal holiday within the District of Columbia, in which case the date stamped will be the next succeeding business day.
- For EFS-Web submissions, the receipt date is the date the correspondence is received at the USPTO’s correspondence address when it was officially submitted, which can include weekends and holidays.
The MPEP states: “The date indicated on the Certificate of Mailing or of Transmission will be used by the Office only to determine if the paper was deposited in the United States Postal Service, transmitted by facsimile or transmitted via EFS-Web within the period for reply.”
The Certificate of Mailing or Transmission can significantly affect the timeliness of USPTO submissions. According to MPEP 512:
“The date indicated on the Certificate of Mailing or Transmission will be used by the Office as the date of receipt of the paper or fee.”
This means that even if there are delays in postal or electronic transmission, your submission will be considered timely if the certificate date is within the required deadline. However, it’s important to note that the actual mailing or transmission must occur on or before the certificate date. False certificates can lead to serious consequences, including invalidation of the submission and potential disciplinary action.
To learn more:
The Certificate of Mailing or Transmission can affect filing date calculations in several ways:
- For timely filing: If a paper with a certificate is received after a deadline but the certificate date is within the deadline, the paper is considered timely filed. The MPEP states: “If the date stated is within the period for reply, the reply in most instances will be considered to be timely.”
- For actual receipt date: The USPTO will continue to stamp the actual date of receipt on all papers. According to the MPEP: “The receipt date stamped on all papers will also be the date which is entered on Office records and from which any subsequent periods are calculated.”
- For subsequent deadlines: If a paper starts a new period for reply, that period is calculated from the actual receipt date, not the certificate date. For example: “If the last day to reply to a final Office action was November 10, 2014, and applicant deposited a Notice of Appeal with fee in the U.S. mail on November 10, 2014, and so certified, that appeal is timely even if it was not received in the U.S. Patent and Trademark Office until November 12, 2014. Since the date of receipt of the notice of appeal will be used to calculate the time at which the brief is due, the brief was due on January 12, 2015.”
It’s important to note that while the certificate can establish timely filing, it doesn’t change the actual receipt date for other USPTO processing purposes.
To use a Certificate of Mailing or Transmission, you must include a signed certification with your correspondence. The MPEP provides suggested formats for these certificates:
“The following are suggested formats for either a Certificate of Mailing or Certificate of Transmission under 37 CFR 1.8(a). The certification may be included with all correspondence concerning this application or proceeding to establish a date of mailing or transmission under 37 CFR 1.8(a).”
The certificate should include:
- A statement certifying the date of mailing or transmission
- The signature of the person making the certification
- The application number (if known)
It’s important to note that the certificate must be signed by someone with a reasonable basis to expect the correspondence would be mailed or transmitted on or before the date indicated.
To learn more:
The Certificate of Mailing procedure does not apply to papers mailed from a foreign country. However, the Certificate of Transmission procedure can be used for correspondence transmitted to the USPTO from a foreign country, with some conditions. The MPEP states:
The Certificate of Transmission procedure for both facsimile transmissions and transmissions via EFS-Web, however, also applies to papers transmitted to the Office from a foreign country provided that the correspondence being transmitted is not prohibited from being transmitted by facsimile or via EFS-Web and is not otherwise precluded from receiving the benefits under 37 CFR 1.8.
This means that while you can’t use a Certificate of Mailing for papers sent by postal mail from outside the United States, you can use a Certificate of Transmission for faxes or EFS-Web submissions from foreign countries, as long as the specific type of correspondence is eligible for the certificate procedure.
The use of a Certificate of Mailing or Transmission for international patent applications is limited and depends on the specific type of correspondence. According to the MPEP and 37 CFR 1.8(a)(2)(i)(D)-(F), the certificate procedure does not apply to:
- The filing of an international application for patent
- The filing of correspondence in an international application before the U.S. Receiving Office, the U.S. International Searching Authority, or the U.S. International Preliminary Examining Authority
- The filing of a copy of the international application and the basic national fee necessary to enter the national stage
However, the Certificate of Transmission procedure can be used for some correspondence related to international applications if it’s being transmitted to the USPTO and is not otherwise prohibited. The MPEP states:
The Certificate of Transmission procedure for both facsimile transmissions and transmissions via EFS-Web, however, also applies to papers transmitted to the Office from a foreign country provided that the correspondence being transmitted is not prohibited from being transmitted by facsimile or via EFS-Web and is not otherwise precluded from receiving the benefits under 37 CFR 1.8.
It’s crucial to carefully review the specific requirements and limitations for international application correspondence to ensure proper and timely filing.
Yes, you can use a Certificate of Transmission for documents filed electronically through the USPTO’s Electronic Filing System (EFS-Web). The MPEP provides a suggested format for a Certificate of EFS-Web Transmission:
I hereby certify that this correspondence is being transmitted via the U.S. Patent and Trademark Office electronic filing system (EFS-Web) to the USPTO on [Date].
However, it’s important to note that EFS-Web submissions have their own timestamp system. According to 37 CFR 1.6(a)(4):
Correspondence submitted to the Office by way of the Office electronic filing system will be accorded a receipt date, which is the date the correspondence is received at the correspondence address for the Office set forth in § 1.1 when it was officially submitted.
This date can be a Saturday, Sunday, or federal holiday within the District of Columbia. The certificate can provide an additional layer of documentation for your submission date, but the EFS-Web timestamp is generally considered authoritative for determining the receipt date of electronic submissions.
The use of a Certificate of Mailing or Transmission for correspondence from outside the United States depends on the method of transmission. The MPEP clarifies:
“The Certificate of Mailing procedure does not apply to papers mailed in a foreign country. The Certificate of Transmission procedure for both facsimile transmissions and transmissions via EFS-Web, however, also applies to papers transmitted to the Office from a foreign country provided that the correspondence being transmitted is not prohibited from being transmitted by facsimile or via EFS-Web and is not otherwise precluded from receiving the benefits under 37 CFR 1.8.”
Therefore:
- You cannot use a Certificate of Mailing for papers mailed from outside the U.S.
- You can use a Certificate of Transmission for facsimile or EFS-Web transmissions from outside the U.S., as long as the correspondence is eligible for this procedure.
It’s important to verify that your specific type of correspondence is eligible for the Certificate of Transmission procedure before using it from outside the United States.
To learn more:
No, the Certificate of Mailing or Transmission cannot be used for all USPTO correspondence. The MPEP 512 specifies certain types of correspondence that are excluded from the certificate practice:
“The Certificate of Mailing or Transmission procedure does not apply to: (A) Relative to Patents and Patent Applications— (1) The filing of a national patent application specification and drawing or other correspondence for the purpose of obtaining an application filing date…”
The MPEP lists several other exclusions, including certain international application filings, trademark-related filings, and correspondence filed in interference or trial proceedings. It’s crucial to review the full list in MPEP 512 to ensure compliance with USPTO rules.
To learn more:
Patent Procedure (19)
While the Certificate of Mailing or Transmission procedure is useful for many types of USPTO correspondence, there are several exceptions. According to 37 CFR 1.8(a)(2), the procedure does not apply to:
- Filing of national patent application specifications and drawings for the purpose of obtaining an application filing date
- Filing of correspondence in an international application before the U.S. Receiving Office, U.S. International Searching Authority, or U.S. International Preliminary Examining Authority
- Filing of an international design application
- Filing a copy of an international application and the basic national fee to enter the national stage
- Filing a written declaration of abandonment under 37 CFR 1.138
It’s crucial to note that these exceptions exist to ensure certain critical documents are actually received by the USPTO before they are considered filed.
To learn more:
If you have filed correspondence with a proper Certificate of Mailing or Transmission, but the USPTO has not received it after a reasonable amount of time, you can take action under 37 CFR 1.8(b). The MPEP states:
“37 CFR 1.8(b) permits a party to notify the Office of a previous mailing through the U.S. Postal Service, or transmission by facsimile or EFS-Web, of correspondence when a reasonable amount of time has elapsed from the time of mailing or transmission of the correspondence.”
To rectify this situation:
- Promptly notify the Office of the previous mailing or transmission
- Supply a duplicate copy of the previously mailed or transmitted correspondence
- Provide a statement attesting to the previous timely mailing or transmission
It’s important to act quickly once you become aware that the Office has not received your correspondence, rather than waiting until the end of the reply period.
To learn more:
If you’ve misused a Certificate of Mailing or Transmission, it’s important to address the issue promptly and honestly. The USPTO takes the integrity of these certificates seriously. The MPEP states:
Misuse of a Certificate of Mailing under 37 CFR 1.8 or improperly claiming the benefit of 37 CFR 1.10 which appears to be more than a one-time, inadvertent error should be brought to the attention of the Office of Enrollment and Discipline.
If the misuse was a one-time, inadvertent error, you should:
- Notify the USPTO as soon as you become aware of the error.
- Provide a full explanation of the circumstances.
- If possible, submit the correct documentation or information.
- Be prepared for the possibility that your submission may be considered late, which could have consequences for your application or proceeding.
For repeated or intentional misuse, the matter may be referred to the Office of Enrollment and Discipline, which could result in more serious consequences. It’s always best to use Certificates of Mailing or Transmission carefully and honestly to maintain the integrity of the patent application process.
The purpose of a certificate of mailing or transmission in patent applications is to provide evidence of timely filing when correspondence is not received by the USPTO or is received late. As stated in MPEP 512:
The Certificate of Mailing or Transmission procedure does not apply to papers mailed in a foreign country.
This procedure allows applicants to prove that they submitted their correspondence on time, even if it’s delayed or lost in transit.
To learn more:
A Certificate of Mailing or Transmission is a procedure under 37 CFR 1.8 that allows correspondence to be considered timely filed with the USPTO if it meets certain conditions. As stated in the MPEP:
“Under 37 CFR 1.8, a person may state on certain papers directed to the Office (some exceptions are stated in 37 CFR 1.8), the date on which the paper will be deposited in the United States Postal Service, transmitted by facsimile or transmitted via the USPTO electronic filing system (EFS-Web). If the date stated is within the period for reply, the reply in most instances will be considered to be timely.”
This procedure can be crucial for meeting deadlines, even if the actual receipt of the correspondence by the USPTO occurs after the deadline.
To learn more:
If the USPTO receives a document without a date of receipt stamp, the Office will assign the document a date of receipt based on other evidence. This may include:
- The date of receipt indicated on an Express Mail label
- The date of deposit indicated on a certificate of mailing
- The date of transmission indicated on a certificate of transmission
- Other corroborating evidence, such as a postmark on an envelope
In cases where no other evidence is available, the USPTO may assign the date of receipt as the date the document was matched with the file wrapper.
If the Certificate of Mailing or Transmission is omitted from a paper, the USPTO will treat the paper as though it was not received. According to MPEP 512:
“If the certification of mailing or transmission is omitted and the paper is later received by the U.S. Patent and Trademark Office, the paper will be considered as having been filed as of the date of receipt in the Office.”
This means that without the certificate, the paper’s filing date will be the actual date it’s received by the USPTO, which could potentially be later than intended and may have significant consequences for patent applications or other time-sensitive submissions.
To learn more:
If correspondence with a Certificate of Mailing or Transmission is not received by the USPTO after a reasonable amount of time, you can take steps to notify the Office and provide evidence of the previous timely filing. According to 37 CFR 1.8(b):
In the event that correspondence is considered timely filed by being mailed or transmitted in accordance with paragraph (a) of this section, but not received in the U.S. Patent and Trademark Office after a reasonable amount of time has elapsed from the time of mailing or transmitting of the correspondence […] the correspondence will be considered timely if the party who forwarded such correspondence: (1) Informs the Office of the previous mailing or transmission of the correspondence promptly after becoming aware that the Office has no evidence of receipt of the correspondence; (2) Supplies an additional copy of the previously mailed or transmitted correspondence and certificate; and (3) Includes a statement that attests on a personal knowledge basis or to the satisfaction of the Director to the previous timely mailing, transmission or submission.
It’s recommended to check the private Patent Application Information Retrieval (PAIR) System first to see if the correspondence has been entered into the application file before notifying the Office.
What are the requirements for certificate of mailing or transmission?
The certificate of mailing or transmission is an important tool for securing a filing date with the USPTO. According to MPEP 502, the requirements are:
“The certification requires a signature. Specifically, if the certification is filed by a registered practitioner, it must be signed by that practitioner personally. 37 CFR 1.8(a)(2). If the certification is filed by an applicant, it must be signed by the applicant (except where an oath or declaration is not required, in which case the certification may be signed by a registered practitioner). 37 CFR 1.8(a)(2).”
Key points to remember:
- The certificate must include the date of deposit or transmission.
- It must be signed by the person mailing or transmitting the correspondence.
- For registered practitioners, personal signature is required.
- For applicants, their signature is required unless an oath/declaration is not needed.
Proper use of this certificate can help ensure your documents are considered timely filed, even if there are postal or transmission delays.
For more information on Certificate of Mailing, visit: Certificate of Mailing.
For more information on Certificate of Transmission, visit: Certificate of Transmission.
For more information on USPTO correspondence, visit: USPTO correspondence.
The USPTO has specific procedures for handling papers that include a Certificate of Mailing or Transmission. According to the MPEP:
“The Mail Center of the Office of Patent Application Processing (OPAP) will continue to date stamp the actual date of receipt of all papers received by mail in the Office. No attempt will be made to retain the envelopes in which the papers are received or to indicate on the papers the postal cancellation date (postmark).”
Key points in the USPTO’s handling process include:
- The actual receipt date is stamped on all papers
- The date on the Certificate is used to determine if the paper was filed within the period for reply
- If the paper is received after the period for reply, but the Certificate date is within the period, the paper is considered timely filed
- A notation (e.g., “C of Mail 11/10/97”) is made next to the Office Date Stamp to indicate the Certificate date
It’s important to note that while the Certificate date is used to determine timeliness, the actual receipt date is used for all other purposes, including calculating subsequent deadlines.
To learn more:
The USPTO has specific procedures for handling correspondence with a Certificate of Mailing or Transmission:
- All papers received by mail are date stamped with the actual date of receipt, regardless of any Certificate of Mailing.
- For papers with a Certificate of Mailing or Transmission, the date on the certificate is used to determine if the paper was filed within the period for reply.
- If the paper is received within the period for reply, the actual receipt date is used for all purposes.
- If the paper is received after the period for reply, but the certificate date is within the period, the paper is considered timely filed. In this case, a notation is made next to the ‘Office Date’ stamp indicating the certificate date (e.g., ‘C of Mail 11/10/97’).
- For facsimile transmissions, the date stamped is the date the complete transmission is received, unless that date is a Saturday, Sunday, or Federal holiday within the District of Columbia, in which case the date stamped will be the next succeeding business day.
- For EFS-Web submissions, the receipt date is the date the correspondence is received at the USPTO’s correspondence address when it was officially submitted, which can include weekends and holidays.
The MPEP states: “The date indicated on the Certificate of Mailing or of Transmission will be used by the Office only to determine if the paper was deposited in the United States Postal Service, transmitted by facsimile or transmitted via EFS-Web within the period for reply.”
The Certificate of Mailing or Transmission can significantly affect the timeliness of USPTO submissions. According to MPEP 512:
“The date indicated on the Certificate of Mailing or Transmission will be used by the Office as the date of receipt of the paper or fee.”
This means that even if there are delays in postal or electronic transmission, your submission will be considered timely if the certificate date is within the required deadline. However, it’s important to note that the actual mailing or transmission must occur on or before the certificate date. False certificates can lead to serious consequences, including invalidation of the submission and potential disciplinary action.
To learn more:
The Certificate of Mailing or Transmission can affect filing date calculations in several ways:
- For timely filing: If a paper with a certificate is received after a deadline but the certificate date is within the deadline, the paper is considered timely filed. The MPEP states: “If the date stated is within the period for reply, the reply in most instances will be considered to be timely.”
- For actual receipt date: The USPTO will continue to stamp the actual date of receipt on all papers. According to the MPEP: “The receipt date stamped on all papers will also be the date which is entered on Office records and from which any subsequent periods are calculated.”
- For subsequent deadlines: If a paper starts a new period for reply, that period is calculated from the actual receipt date, not the certificate date. For example: “If the last day to reply to a final Office action was November 10, 2014, and applicant deposited a Notice of Appeal with fee in the U.S. mail on November 10, 2014, and so certified, that appeal is timely even if it was not received in the U.S. Patent and Trademark Office until November 12, 2014. Since the date of receipt of the notice of appeal will be used to calculate the time at which the brief is due, the brief was due on January 12, 2015.”
It’s important to note that while the certificate can establish timely filing, it doesn’t change the actual receipt date for other USPTO processing purposes.
To use a Certificate of Mailing or Transmission, you must include a signed certification with your correspondence. The MPEP provides suggested formats for these certificates:
“The following are suggested formats for either a Certificate of Mailing or Certificate of Transmission under 37 CFR 1.8(a). The certification may be included with all correspondence concerning this application or proceeding to establish a date of mailing or transmission under 37 CFR 1.8(a).”
The certificate should include:
- A statement certifying the date of mailing or transmission
- The signature of the person making the certification
- The application number (if known)
It’s important to note that the certificate must be signed by someone with a reasonable basis to expect the correspondence would be mailed or transmitted on or before the date indicated.
To learn more:
The Certificate of Mailing procedure does not apply to papers mailed from a foreign country. However, the Certificate of Transmission procedure can be used for correspondence transmitted to the USPTO from a foreign country, with some conditions. The MPEP states:
The Certificate of Transmission procedure for both facsimile transmissions and transmissions via EFS-Web, however, also applies to papers transmitted to the Office from a foreign country provided that the correspondence being transmitted is not prohibited from being transmitted by facsimile or via EFS-Web and is not otherwise precluded from receiving the benefits under 37 CFR 1.8.
This means that while you can’t use a Certificate of Mailing for papers sent by postal mail from outside the United States, you can use a Certificate of Transmission for faxes or EFS-Web submissions from foreign countries, as long as the specific type of correspondence is eligible for the certificate procedure.
The use of a Certificate of Mailing or Transmission for international patent applications is limited and depends on the specific type of correspondence. According to the MPEP and 37 CFR 1.8(a)(2)(i)(D)-(F), the certificate procedure does not apply to:
- The filing of an international application for patent
- The filing of correspondence in an international application before the U.S. Receiving Office, the U.S. International Searching Authority, or the U.S. International Preliminary Examining Authority
- The filing of a copy of the international application and the basic national fee necessary to enter the national stage
However, the Certificate of Transmission procedure can be used for some correspondence related to international applications if it’s being transmitted to the USPTO and is not otherwise prohibited. The MPEP states:
The Certificate of Transmission procedure for both facsimile transmissions and transmissions via EFS-Web, however, also applies to papers transmitted to the Office from a foreign country provided that the correspondence being transmitted is not prohibited from being transmitted by facsimile or via EFS-Web and is not otherwise precluded from receiving the benefits under 37 CFR 1.8.
It’s crucial to carefully review the specific requirements and limitations for international application correspondence to ensure proper and timely filing.
Yes, you can use a Certificate of Transmission for documents filed electronically through the USPTO’s Electronic Filing System (EFS-Web). The MPEP provides a suggested format for a Certificate of EFS-Web Transmission:
I hereby certify that this correspondence is being transmitted via the U.S. Patent and Trademark Office electronic filing system (EFS-Web) to the USPTO on [Date].
However, it’s important to note that EFS-Web submissions have their own timestamp system. According to 37 CFR 1.6(a)(4):
Correspondence submitted to the Office by way of the Office electronic filing system will be accorded a receipt date, which is the date the correspondence is received at the correspondence address for the Office set forth in § 1.1 when it was officially submitted.
This date can be a Saturday, Sunday, or federal holiday within the District of Columbia. The certificate can provide an additional layer of documentation for your submission date, but the EFS-Web timestamp is generally considered authoritative for determining the receipt date of electronic submissions.
The use of a Certificate of Mailing or Transmission for correspondence from outside the United States depends on the method of transmission. The MPEP clarifies:
“The Certificate of Mailing procedure does not apply to papers mailed in a foreign country. The Certificate of Transmission procedure for both facsimile transmissions and transmissions via EFS-Web, however, also applies to papers transmitted to the Office from a foreign country provided that the correspondence being transmitted is not prohibited from being transmitted by facsimile or via EFS-Web and is not otherwise precluded from receiving the benefits under 37 CFR 1.8.”
Therefore:
- You cannot use a Certificate of Mailing for papers mailed from outside the U.S.
- You can use a Certificate of Transmission for facsimile or EFS-Web transmissions from outside the U.S., as long as the correspondence is eligible for this procedure.
It’s important to verify that your specific type of correspondence is eligible for the Certificate of Transmission procedure before using it from outside the United States.
To learn more:
No, the Certificate of Mailing or Transmission cannot be used for all USPTO correspondence. The MPEP 512 specifies certain types of correspondence that are excluded from the certificate practice:
“The Certificate of Mailing or Transmission procedure does not apply to: (A) Relative to Patents and Patent Applications— (1) The filing of a national patent application specification and drawing or other correspondence for the purpose of obtaining an application filing date…”
The MPEP lists several other exclusions, including certain international application filings, trademark-related filings, and correspondence filed in interference or trial proceedings. It’s crucial to review the full list in MPEP 512 to ensure compliance with USPTO rules.
To learn more: