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 200 - Types and Status of Application; Benefit and Priority (1)
Can I file a provisional application electronically?
Yes, you can file a provisional application electronically through the USPTO’s Electronic Filing System (EFS-Web). The MPEP 201.04 states:
“Applicants can file provisional applications electronically using EFS-Web or Patent Center.”
Electronic filing offers several advantages, including:
- Immediate confirmation of receipt
- Potential for reduced filing fees
- Faster processing times
- 24/7 availability
To file electronically, you’ll need to prepare your application documents in the appropriate format and submit them through the USPTO’s EFS-Web system or Patent Center.
For more information on EFS-Web, visit: EFS-Web.
For more information on electronic filing, visit: electronic filing.
For more information on Patent Center, visit: Patent Center.
For more information on provisional application, visit: provisional application.
MPEP 201 - Types of Applications (1)
Can I file a provisional application electronically?
Yes, you can file a provisional application electronically through the USPTO’s Electronic Filing System (EFS-Web). The MPEP 201.04 states:
“Applicants can file provisional applications electronically using EFS-Web or Patent Center.”
Electronic filing offers several advantages, including:
- Immediate confirmation of receipt
- Potential for reduced filing fees
- Faster processing times
- 24/7 availability
To file electronically, you’ll need to prepare your application documents in the appropriate format and submit them through the USPTO’s EFS-Web system or Patent Center.
For more information on EFS-Web, visit: EFS-Web.
For more information on electronic filing, visit: electronic filing.
For more information on Patent Center, visit: Patent Center.
For more information on provisional application, visit: provisional application.
MPEP 400 - Representative of Applicant or Owner (1)
For documents submitted through EFS-Web, the USPTO accepts electronic signatures. According to MPEP 402.03:
Any paper filed in the Office in a patent application, patent file, or other proceeding which is not signed as required by 37 CFR 1.4(d) or (e) will be considered unsigned, and will be treated in accordance with 37 CFR 1.4(d)(1).
The USPTO specifically recognizes S-signatures for EFS-Web submissions. An S-signature is a signature inserted between forward slash marks, like so: /John Smith/. It’s important to note that the signer must manually type their name or use a facsimile or handwritten signature inserted between the slashes.
To learn more:
MPEP 500 - Receipt and Handling of Mail and Papers (11)
The following types of patent applications and documents can be filed via EFS-Web:
- Provisional patent applications under 35 U.S.C. 111(b)
- Nonprovisional utility patent applications under 35 U.S.C. 111(a)
- Nonprovisional design patent applications under 35 U.S.C. 111(a)
- International applications filed under the PCT in the United States Receiving Office
- National stage submissions under 35 U.S.C. 371
- International design applications filed under the Hague Agreement
- Requests for ex parte reexamination for utility or design patents
- Requests for supplemental examination for utility, design, or plant patents
- Third-party preissuance submissions under 35 U.S.C. 122(e)
- Citation of prior art and written statements in patent files under 37 CFR 1.501
Follow-on documents can also be filed via EFS-Web for existing applications by registered users.
An application number consists of a series code and a serial number. It is assigned by the Office of Patent Application Processing (OPAP) immediately after mail has been opened. For applications filed using the USPTO patent electronic filing system, EFS-Web provides an Acknowledgement Receipt containing a time and date stamp, application number, and confirmation number.
The MPEP states: ‘Application numbers consisting of a series code and a serial number are assigned by the Office of Patent Application Processing (OPAP) immediately after mail has been opened.’ (MPEP 503)
When filing entity status notifications in EFS-Web, it is strongly recommended to use the following document descriptions as appropriate:
- Notification of loss of entitlement to small entity status
- Notification of loss of entitlement to micro entity status
Using these specific document descriptions helps ensure that your notifications are properly categorized and processed by the USPTO. This recommendation is provided in MPEP 509.04(e) to facilitate efficient handling of entity status changes.
To learn more:
The USPTO strongly recommends the following methods for filing new patent applications:
- Electronic Filing System (EFS-Web or Patent Center): This is the preferred method whenever permitted.
- Priority Mail Expressยฎ: If not filing electronically, use this method in accordance with 37 CFR 1.10 to secure the date of deposit as the filing date.
- Hand-delivery to the USPTO office.
Avoid filing by first-class mail, as it only secures the date of receipt at the USPTO as the filing date, risking delays in delivery.
As stated in MPEP 511: “The Office strongly recommends that applicants file new applications by Priority Mail Expressยฎ in accordance with 37 CFR 1.10 (if such applications are not filed via EFS-Web) because such correspondence will be accorded the date of deposit in Priority Mail Expressยฎ with the USPS as the filing date.”
Additionally, “In general, applicants should consider filing new patent applications (as well as patent-related correspondence) via the USPTO patent electronic filing system (EFS-Web or Patent Center) whenever permitted.”
What are the acceptable methods for filing papers with the USPTO?
The USPTO accepts several methods for filing papers:
- Hand-delivery to the USPTO office in Alexandria, Virginia
- First-class mail through the United States Postal Service (USPS)
- Express Mail service of the USPS
- Electronic filing through the USPTO’s Electronic Filing System (EFS-Web)
As stated in MPEP 501: ‘Papers may be filed using first class mail through the United States Postal Service.’ The MPEP also notes that ‘Correspondence may be hand-carried to the Office.’ For electronic filing, it’s important to note that ‘EFS-Web can be used to file new applications, enter the national stage under 35 U.S.C. 371, and submit most follow-on documents in patent applications.’
For more information on EFS-Web, visit: EFS-Web.
For more information on electronic filing, visit: electronic filing.
For more information on Express Mail, visit: Express Mail.
For more information on first-class mail, visit: first-class mail.
For more information on hand-delivery, visit: hand-delivery.
There are two main ways to obtain a receipt for items filed with the USPTO:
- For paper filings: Include a self-addressed postcard with your submission, itemizing all components being filed. The USPTO will stamp the receipt date on the postcard and return it.
- For electronic filings via EFS-Web or Patent Center: An Electronic Acknowledgement Receipt is automatically generated and sent to the filer.
The MPEP states: ‘If a submitter desires a receipt for any item (e.g., paper or fee) filed in the USPTO by means other than the USPTO patent electronic filing system, it may be obtained by enclosing with the paper a self-addressed postcard specifically identifying the item.’ (MPEP 503)
To authorize email communications with the USPTO, an applicant must provide a written authorization. According to MPEP 502.03:
‘The written authorization may be submitted via EFS-Web, mail, or fax. It cannot be submitted by email.’
The USPTO provides a sample authorization form:
‘Recognizing that Internet communications are not secure, I hereby authorize the USPTO to communicate with the undersigned and practitioners in accordance with 37 CFR 1.33 and 37 CFR 1.34 concerning any subject matter of this application by video conferencing, instant messaging, or electronic mail. I understand that a copy of these communications will be made of record in the application file.’
To facilitate processing, the USPTO recommends using Form PTO/SB/439, available at www.uspto.gov/patent/patents-forms. This form can be filed via EFS-Web using the document description ‘Internet Communications Authorized’.
To learn more:
The USPTO has specific rules for dating electronically filed submissions. According to 37 CFR 1.6(a)(4):
Correspondence may be submitted using the Office electronic filing system only in accordance with the Office electronic filing system requirements. 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 ยง 1.1 when it was officially submitted.
The MPEP further clarifies: Similarly, correspondence submitted via the USPTO electronic filing system (EFS-Web) will be accorded a receipt date on the date the correspondence is received at the correspondence address for the Office set forth in 37 CFR 1.1 (i.e., local time in Alexandria, VA), without regard to whether that date is a Saturday, Sunday, or Federal holiday within the District of Columbia.
Electronically filed patent applications receive special treatment for date-stamping at the USPTO. According to MPEP 505, 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 ยง 1.1 when it was officially submitted.
Key points about electronic filing date-stamping:
- The receipt date is based on the time in Alexandria, VA (USPTO’s location)
- Electronic submissions can receive a date stamp on any day, including weekends and holidays
- The electronic filing system (EFS-Web) must be used in accordance with USPTO requirements
For more details on electronic filing, refer to MPEP ยง 502.05.
For more information on EFS-Web, visit: EFS-Web.
For more information on electronic filing, visit: electronic filing.
For more information on USPTO, visit: USPTO.
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 ยง 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.
Yes, an applicant can withdraw their authorization for email communication with the USPTO. According to MPEP 502.03:
‘A written authorization may be withdrawn by filing a signed paper clearly identifying the original authorization.’
The USPTO provides a sample form for withdrawing authorization:
‘The authorization given on______, to the USPTO to communicate with any practitioner of record or acting in a representative capacity in accordance with 37 CFR 1.33 and 37 CFR 1.34 concerning any subject matter of this application via video conferencing, instant messaging, or electronic mail is hereby withdrawn.’
To facilitate processing, the USPTO recommends using Form PTO/SB/439, available at www.uspto.gov/patent/patents-forms. This form can be filed via EFS-Web using the document description ‘Internet Communications Authorization Withdrawn’.
To learn more:
MPEP 501 - Filing Papers With the U.S. Patent and Trademark Office (1)
What are the acceptable methods for filing papers with the USPTO?
The USPTO accepts several methods for filing papers:
- Hand-delivery to the USPTO office in Alexandria, Virginia
- First-class mail through the United States Postal Service (USPS)
- Express Mail service of the USPS
- Electronic filing through the USPTO’s Electronic Filing System (EFS-Web)
As stated in MPEP 501: ‘Papers may be filed using first class mail through the United States Postal Service.’ The MPEP also notes that ‘Correspondence may be hand-carried to the Office.’ For electronic filing, it’s important to note that ‘EFS-Web can be used to file new applications, enter the national stage under 35 U.S.C. 371, and submit most follow-on documents in patent applications.’
For more information on EFS-Web, visit: EFS-Web.
For more information on electronic filing, visit: electronic filing.
For more information on Express Mail, visit: Express Mail.
For more information on first-class mail, visit: first-class mail.
For more information on hand-delivery, visit: hand-delivery.
MPEP 502 - Depositing Correspondence (1)
The following types of patent applications and documents can be filed via EFS-Web:
- Provisional patent applications under 35 U.S.C. 111(b)
- Nonprovisional utility patent applications under 35 U.S.C. 111(a)
- Nonprovisional design patent applications under 35 U.S.C. 111(a)
- International applications filed under the PCT in the United States Receiving Office
- National stage submissions under 35 U.S.C. 371
- International design applications filed under the Hague Agreement
- Requests for ex parte reexamination for utility or design patents
- Requests for supplemental examination for utility, design, or plant patents
- Third-party preissuance submissions under 35 U.S.C. 122(e)
- Citation of prior art and written statements in patent files under 37 CFR 1.501
Follow-on documents can also be filed via EFS-Web for existing applications by registered users.
MPEP 503 - Application Number and Filing Receipt (2)
An application number consists of a series code and a serial number. It is assigned by the Office of Patent Application Processing (OPAP) immediately after mail has been opened. For applications filed using the USPTO patent electronic filing system, EFS-Web provides an Acknowledgement Receipt containing a time and date stamp, application number, and confirmation number.
The MPEP states: ‘Application numbers consisting of a series code and a serial number are assigned by the Office of Patent Application Processing (OPAP) immediately after mail has been opened.’ (MPEP 503)
There are two main ways to obtain a receipt for items filed with the USPTO:
- For paper filings: Include a self-addressed postcard with your submission, itemizing all components being filed. The USPTO will stamp the receipt date on the postcard and return it.
- For electronic filings via EFS-Web or Patent Center: An Electronic Acknowledgement Receipt is automatically generated and sent to the filer.
The MPEP states: ‘If a submitter desires a receipt for any item (e.g., paper or fee) filed in the USPTO by means other than the USPTO patent electronic filing system, it may be obtained by enclosing with the paper a self-addressed postcard specifically identifying the item.’ (MPEP 503)
MPEP 505 - Date of Receipt Stamp (2)
The USPTO has specific rules for dating electronically filed submissions. According to 37 CFR 1.6(a)(4):
Correspondence may be submitted using the Office electronic filing system only in accordance with the Office electronic filing system requirements. 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 ยง 1.1 when it was officially submitted.
The MPEP further clarifies: Similarly, correspondence submitted via the USPTO electronic filing system (EFS-Web) will be accorded a receipt date on the date the correspondence is received at the correspondence address for the Office set forth in 37 CFR 1.1 (i.e., local time in Alexandria, VA), without regard to whether that date is a Saturday, Sunday, or Federal holiday within the District of Columbia.
Electronically filed patent applications receive special treatment for date-stamping at the USPTO. According to MPEP 505, 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 ยง 1.1 when it was officially submitted.
Key points about electronic filing date-stamping:
- The receipt date is based on the time in Alexandria, VA (USPTO’s location)
- Electronic submissions can receive a date stamp on any day, including weekends and holidays
- The electronic filing system (EFS-Web) must be used in accordance with USPTO requirements
For more details on electronic filing, refer to MPEP ยง 502.05.
For more information on EFS-Web, visit: EFS-Web.
For more information on electronic filing, visit: electronic filing.
For more information on USPTO, visit: USPTO.
MPEP 511 - Postal Service Interruptions and Emergencies (1)
The USPTO strongly recommends the following methods for filing new patent applications:
- Electronic Filing System (EFS-Web or Patent Center): This is the preferred method whenever permitted.
- Priority Mail Expressยฎ: If not filing electronically, use this method in accordance with 37 CFR 1.10 to secure the date of deposit as the filing date.
- Hand-delivery to the USPTO office.
Avoid filing by first-class mail, as it only secures the date of receipt at the USPTO as the filing date, risking delays in delivery.
As stated in MPEP 511: “The Office strongly recommends that applicants file new applications by Priority Mail Expressยฎ in accordance with 37 CFR 1.10 (if such applications are not filed via EFS-Web) because such correspondence will be accorded the date of deposit in Priority Mail Expressยฎ with the USPS as the filing date.”
Additionally, “In general, applicants should consider filing new patent applications (as well as patent-related correspondence) via the USPTO patent electronic filing system (EFS-Web or Patent Center) whenever permitted.”
MPEP 512 - Certificate of Mailing or Transmission (1)
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 ยง 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.
Patent Law (17)
The following types of patent applications and documents can be filed via EFS-Web:
- Provisional patent applications under 35 U.S.C. 111(b)
- Nonprovisional utility patent applications under 35 U.S.C. 111(a)
- Nonprovisional design patent applications under 35 U.S.C. 111(a)
- International applications filed under the PCT in the United States Receiving Office
- National stage submissions under 35 U.S.C. 371
- International design applications filed under the Hague Agreement
- Requests for ex parte reexamination for utility or design patents
- Requests for supplemental examination for utility, design, or plant patents
- Third-party preissuance submissions under 35 U.S.C. 122(e)
- Citation of prior art and written statements in patent files under 37 CFR 1.501
Follow-on documents can also be filed via EFS-Web for existing applications by registered users.
An e-IDS (electronic Information Disclosure Statement) is a way to submit information disclosure statements to the USPTO electronically. According to MPEP 609.07:
Information disclosure statements may be submitted to the Office via the USPTO patent electronic filing system. Applicants can file an e-IDS using EFS-Web by (A) entering the references’ citation information in an electronic data entry form, equivalent to the paper PTO/SB/08 form, and (B) transmitting the electronic data entry form to the Office.
This electronic submission method allows for efficient filing of IDSs, particularly for U.S. patents and patent application publications.
To learn more:
An application number consists of a series code and a serial number. It is assigned by the Office of Patent Application Processing (OPAP) immediately after mail has been opened. For applications filed using the USPTO patent electronic filing system, EFS-Web provides an Acknowledgement Receipt containing a time and date stamp, application number, and confirmation number.
The MPEP states: ‘Application numbers consisting of a series code and a serial number are assigned by the Office of Patent Application Processing (OPAP) immediately after mail has been opened.’ (MPEP 503)
When filing entity status notifications in EFS-Web, it is strongly recommended to use the following document descriptions as appropriate:
- Notification of loss of entitlement to small entity status
- Notification of loss of entitlement to micro entity status
Using these specific document descriptions helps ensure that your notifications are properly categorized and processed by the USPTO. This recommendation is provided in MPEP 509.04(e) to facilitate efficient handling of entity status changes.
To learn more:
For documents submitted through EFS-Web, the USPTO accepts electronic signatures. According to MPEP 402.03:
Any paper filed in the Office in a patent application, patent file, or other proceeding which is not signed as required by 37 CFR 1.4(d) or (e) will be considered unsigned, and will be treated in accordance with 37 CFR 1.4(d)(1).
The USPTO specifically recognizes S-signatures for EFS-Web submissions. An S-signature is a signature inserted between forward slash marks, like so: /John Smith/. It’s important to note that the signer must manually type their name or use a facsimile or handwritten signature inserted between the slashes.
To learn more:
The USPTO strongly recommends the following methods for filing new patent applications:
- Electronic Filing System (EFS-Web or Patent Center): This is the preferred method whenever permitted.
- Priority Mail Expressยฎ: If not filing electronically, use this method in accordance with 37 CFR 1.10 to secure the date of deposit as the filing date.
- Hand-delivery to the USPTO office.
Avoid filing by first-class mail, as it only secures the date of receipt at the USPTO as the filing date, risking delays in delivery.
As stated in MPEP 511: “The Office strongly recommends that applicants file new applications by Priority Mail Expressยฎ in accordance with 37 CFR 1.10 (if such applications are not filed via EFS-Web) because such correspondence will be accorded the date of deposit in Priority Mail Expressยฎ with the USPS as the filing date.”
Additionally, “In general, applicants should consider filing new patent applications (as well as patent-related correspondence) via the USPTO patent electronic filing system (EFS-Web or Patent Center) whenever permitted.”
The file size limitations for biological sequence listings in patent applications are as follows:
- Sequence listings up to 100KB can be included in the specification or submitted as a text file via EFS-Web or PatentCenter.
- Sequence listings between 100KB and 100MB can be submitted as ASCII text files or PDF files via EFS-Web or PatentCenter.
- Sequence listings larger than 100MB must be submitted on read-only optical discs.
According to MPEP 608.05(c): “Sequence listings may be submitted in electronic form via EFS-Web or PatentCenter as ASCII text files or PDF files up to 100 megabytes, and on read-only optical discs when the sequence listing file size is over 100 megabytes.”
It’s important to note that these size limitations ensure efficient processing and storage of sequence listings while accommodating various file sizes.
To learn more:
What are the acceptable methods for filing papers with the USPTO?
The USPTO accepts several methods for filing papers:
- Hand-delivery to the USPTO office in Alexandria, Virginia
- First-class mail through the United States Postal Service (USPS)
- Express Mail service of the USPS
- Electronic filing through the USPTO’s Electronic Filing System (EFS-Web)
As stated in MPEP 501: ‘Papers may be filed using first class mail through the United States Postal Service.’ The MPEP also notes that ‘Correspondence may be hand-carried to the Office.’ For electronic filing, it’s important to note that ‘EFS-Web can be used to file new applications, enter the national stage under 35 U.S.C. 371, and submit most follow-on documents in patent applications.’
For more information on EFS-Web, visit: EFS-Web.
For more information on electronic filing, visit: electronic filing.
For more information on Express Mail, visit: Express Mail.
For more information on first-class mail, visit: first-class mail.
For more information on hand-delivery, visit: hand-delivery.
There are two main ways to obtain a receipt for items filed with the USPTO:
- For paper filings: Include a self-addressed postcard with your submission, itemizing all components being filed. The USPTO will stamp the receipt date on the postcard and return it.
- For electronic filings via EFS-Web or Patent Center: An Electronic Acknowledgement Receipt is automatically generated and sent to the filer.
The MPEP states: ‘If a submitter desires a receipt for any item (e.g., paper or fee) filed in the USPTO by means other than the USPTO patent electronic filing system, it may be obtained by enclosing with the paper a self-addressed postcard specifically identifying the item.’ (MPEP 503)
To authorize email communications with the USPTO, an applicant must provide a written authorization. According to MPEP 502.03:
‘The written authorization may be submitted via EFS-Web, mail, or fax. It cannot be submitted by email.’
The USPTO provides a sample authorization form:
‘Recognizing that Internet communications are not secure, I hereby authorize the USPTO to communicate with the undersigned and practitioners in accordance with 37 CFR 1.33 and 37 CFR 1.34 concerning any subject matter of this application by video conferencing, instant messaging, or electronic mail. I understand that a copy of these communications will be made of record in the application file.’
To facilitate processing, the USPTO recommends using Form PTO/SB/439, available at www.uspto.gov/patent/patents-forms. This form can be filed via EFS-Web using the document description ‘Internet Communications Authorized’.
To learn more:
The USPTO has specific rules for dating electronically filed submissions. According to 37 CFR 1.6(a)(4):
Correspondence may be submitted using the Office electronic filing system only in accordance with the Office electronic filing system requirements. 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 ยง 1.1 when it was officially submitted.
The MPEP further clarifies: Similarly, correspondence submitted via the USPTO electronic filing system (EFS-Web) will be accorded a receipt date on the date the correspondence is received at the correspondence address for the Office set forth in 37 CFR 1.1 (i.e., local time in Alexandria, VA), without regard to whether that date is a Saturday, Sunday, or Federal holiday within the District of Columbia.
Electronically filed patent applications receive special treatment for date-stamping at the USPTO. According to MPEP 505, 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 ยง 1.1 when it was officially submitted.
Key points about electronic filing date-stamping:
- The receipt date is based on the time in Alexandria, VA (USPTO’s location)
- Electronic submissions can receive a date stamp on any day, including weekends and holidays
- The electronic filing system (EFS-Web) must be used in accordance with USPTO requirements
For more details on electronic filing, refer to MPEP ยง 502.05.
For more information on EFS-Web, visit: EFS-Web.
For more information on electronic filing, visit: electronic filing.
For more information on USPTO, visit: USPTO.
Yes, electronic signatures are permitted on e-IDS submissions. The MPEP 609.07 states:
Applicants and registered practitioners are permitted to sign portions of an EFS-Web submission, including an IDS, with an electronic signature. See 37 CFR 1.4(d)(3).
This means that when submitting an e-IDS through the USPTO’s Electronic Filing System-Web (EFS-Web), you can use an electronic signature to sign the submission. This aligns with the USPTO’s broader acceptance of electronic signatures in patent applications and related documents, as outlined in 37 CFR 1.4(d)(3).
To learn more:
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 ยง 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.
Can I file a provisional application electronically?
Yes, you can file a provisional application electronically through the USPTO’s Electronic Filing System (EFS-Web). The MPEP 201.04 states:
“Applicants can file provisional applications electronically using EFS-Web or Patent Center.”
Electronic filing offers several advantages, including:
- Immediate confirmation of receipt
- Potential for reduced filing fees
- Faster processing times
- 24/7 availability
To file electronically, you’ll need to prepare your application documents in the appropriate format and submit them through the USPTO’s EFS-Web system or Patent Center.
For more information on EFS-Web, visit: EFS-Web.
For more information on electronic filing, visit: electronic filing.
For more information on Patent Center, visit: Patent Center.
For more information on provisional application, visit: provisional application.
Yes, an applicant can withdraw their authorization for email communication with the USPTO. According to MPEP 502.03:
‘A written authorization may be withdrawn by filing a signed paper clearly identifying the original authorization.’
The USPTO provides a sample form for withdrawing authorization:
‘The authorization given on______, to the USPTO to communicate with any practitioner of record or acting in a representative capacity in accordance with 37 CFR 1.33 and 37 CFR 1.34 concerning any subject matter of this application via video conferencing, instant messaging, or electronic mail is hereby withdrawn.’
To facilitate processing, the USPTO recommends using Form PTO/SB/439, available at www.uspto.gov/patent/patents-forms. This form can be filed via EFS-Web using the document description ‘Internet Communications Authorization Withdrawn’.
To learn more:
Can a provisional application be filed electronically?
Yes, provisional applications can be filed electronically. The MPEP 601.01(b) states:
“A provisional application may be filed electronically using the EFS-Web or Patent Center.”
Electronic filing offers several advantages, including:
- Immediate confirmation of receipt
- Potentially lower filing fees
- Faster processing times
Applicants should ensure they follow the USPTO’s guidelines for electronic filing to ensure proper submission and processing of their provisional application.
To learn more:
Patent Procedure (17)
The following types of patent applications and documents can be filed via EFS-Web:
- Provisional patent applications under 35 U.S.C. 111(b)
- Nonprovisional utility patent applications under 35 U.S.C. 111(a)
- Nonprovisional design patent applications under 35 U.S.C. 111(a)
- International applications filed under the PCT in the United States Receiving Office
- National stage submissions under 35 U.S.C. 371
- International design applications filed under the Hague Agreement
- Requests for ex parte reexamination for utility or design patents
- Requests for supplemental examination for utility, design, or plant patents
- Third-party preissuance submissions under 35 U.S.C. 122(e)
- Citation of prior art and written statements in patent files under 37 CFR 1.501
Follow-on documents can also be filed via EFS-Web for existing applications by registered users.
An e-IDS (electronic Information Disclosure Statement) is a way to submit information disclosure statements to the USPTO electronically. According to MPEP 609.07:
Information disclosure statements may be submitted to the Office via the USPTO patent electronic filing system. Applicants can file an e-IDS using EFS-Web by (A) entering the references’ citation information in an electronic data entry form, equivalent to the paper PTO/SB/08 form, and (B) transmitting the electronic data entry form to the Office.
This electronic submission method allows for efficient filing of IDSs, particularly for U.S. patents and patent application publications.
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An application number consists of a series code and a serial number. It is assigned by the Office of Patent Application Processing (OPAP) immediately after mail has been opened. For applications filed using the USPTO patent electronic filing system, EFS-Web provides an Acknowledgement Receipt containing a time and date stamp, application number, and confirmation number.
The MPEP states: ‘Application numbers consisting of a series code and a serial number are assigned by the Office of Patent Application Processing (OPAP) immediately after mail has been opened.’ (MPEP 503)
When filing entity status notifications in EFS-Web, it is strongly recommended to use the following document descriptions as appropriate:
- Notification of loss of entitlement to small entity status
- Notification of loss of entitlement to micro entity status
Using these specific document descriptions helps ensure that your notifications are properly categorized and processed by the USPTO. This recommendation is provided in MPEP 509.04(e) to facilitate efficient handling of entity status changes.
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For documents submitted through EFS-Web, the USPTO accepts electronic signatures. According to MPEP 402.03:
Any paper filed in the Office in a patent application, patent file, or other proceeding which is not signed as required by 37 CFR 1.4(d) or (e) will be considered unsigned, and will be treated in accordance with 37 CFR 1.4(d)(1).
The USPTO specifically recognizes S-signatures for EFS-Web submissions. An S-signature is a signature inserted between forward slash marks, like so: /John Smith/. It’s important to note that the signer must manually type their name or use a facsimile or handwritten signature inserted between the slashes.
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The USPTO strongly recommends the following methods for filing new patent applications:
- Electronic Filing System (EFS-Web or Patent Center): This is the preferred method whenever permitted.
- Priority Mail Expressยฎ: If not filing electronically, use this method in accordance with 37 CFR 1.10 to secure the date of deposit as the filing date.
- Hand-delivery to the USPTO office.
Avoid filing by first-class mail, as it only secures the date of receipt at the USPTO as the filing date, risking delays in delivery.
As stated in MPEP 511: “The Office strongly recommends that applicants file new applications by Priority Mail Expressยฎ in accordance with 37 CFR 1.10 (if such applications are not filed via EFS-Web) because such correspondence will be accorded the date of deposit in Priority Mail Expressยฎ with the USPS as the filing date.”
Additionally, “In general, applicants should consider filing new patent applications (as well as patent-related correspondence) via the USPTO patent electronic filing system (EFS-Web or Patent Center) whenever permitted.”
The file size limitations for biological sequence listings in patent applications are as follows:
- Sequence listings up to 100KB can be included in the specification or submitted as a text file via EFS-Web or PatentCenter.
- Sequence listings between 100KB and 100MB can be submitted as ASCII text files or PDF files via EFS-Web or PatentCenter.
- Sequence listings larger than 100MB must be submitted on read-only optical discs.
According to MPEP 608.05(c): “Sequence listings may be submitted in electronic form via EFS-Web or PatentCenter as ASCII text files or PDF files up to 100 megabytes, and on read-only optical discs when the sequence listing file size is over 100 megabytes.”
It’s important to note that these size limitations ensure efficient processing and storage of sequence listings while accommodating various file sizes.
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What are the acceptable methods for filing papers with the USPTO?
The USPTO accepts several methods for filing papers:
- Hand-delivery to the USPTO office in Alexandria, Virginia
- First-class mail through the United States Postal Service (USPS)
- Express Mail service of the USPS
- Electronic filing through the USPTO’s Electronic Filing System (EFS-Web)
As stated in MPEP 501: ‘Papers may be filed using first class mail through the United States Postal Service.’ The MPEP also notes that ‘Correspondence may be hand-carried to the Office.’ For electronic filing, it’s important to note that ‘EFS-Web can be used to file new applications, enter the national stage under 35 U.S.C. 371, and submit most follow-on documents in patent applications.’
For more information on EFS-Web, visit: EFS-Web.
For more information on electronic filing, visit: electronic filing.
For more information on Express Mail, visit: Express Mail.
For more information on first-class mail, visit: first-class mail.
For more information on hand-delivery, visit: hand-delivery.
There are two main ways to obtain a receipt for items filed with the USPTO:
- For paper filings: Include a self-addressed postcard with your submission, itemizing all components being filed. The USPTO will stamp the receipt date on the postcard and return it.
- For electronic filings via EFS-Web or Patent Center: An Electronic Acknowledgement Receipt is automatically generated and sent to the filer.
The MPEP states: ‘If a submitter desires a receipt for any item (e.g., paper or fee) filed in the USPTO by means other than the USPTO patent electronic filing system, it may be obtained by enclosing with the paper a self-addressed postcard specifically identifying the item.’ (MPEP 503)
To authorize email communications with the USPTO, an applicant must provide a written authorization. According to MPEP 502.03:
‘The written authorization may be submitted via EFS-Web, mail, or fax. It cannot be submitted by email.’
The USPTO provides a sample authorization form:
‘Recognizing that Internet communications are not secure, I hereby authorize the USPTO to communicate with the undersigned and practitioners in accordance with 37 CFR 1.33 and 37 CFR 1.34 concerning any subject matter of this application by video conferencing, instant messaging, or electronic mail. I understand that a copy of these communications will be made of record in the application file.’
To facilitate processing, the USPTO recommends using Form PTO/SB/439, available at www.uspto.gov/patent/patents-forms. This form can be filed via EFS-Web using the document description ‘Internet Communications Authorized’.
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The USPTO has specific rules for dating electronically filed submissions. According to 37 CFR 1.6(a)(4):
Correspondence may be submitted using the Office electronic filing system only in accordance with the Office electronic filing system requirements. 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 ยง 1.1 when it was officially submitted.
The MPEP further clarifies: Similarly, correspondence submitted via the USPTO electronic filing system (EFS-Web) will be accorded a receipt date on the date the correspondence is received at the correspondence address for the Office set forth in 37 CFR 1.1 (i.e., local time in Alexandria, VA), without regard to whether that date is a Saturday, Sunday, or Federal holiday within the District of Columbia.
Electronically filed patent applications receive special treatment for date-stamping at the USPTO. According to MPEP 505, 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 ยง 1.1 when it was officially submitted.
Key points about electronic filing date-stamping:
- The receipt date is based on the time in Alexandria, VA (USPTO’s location)
- Electronic submissions can receive a date stamp on any day, including weekends and holidays
- The electronic filing system (EFS-Web) must be used in accordance with USPTO requirements
For more details on electronic filing, refer to MPEP ยง 502.05.
For more information on EFS-Web, visit: EFS-Web.
For more information on electronic filing, visit: electronic filing.
For more information on USPTO, visit: USPTO.
Yes, electronic signatures are permitted on e-IDS submissions. The MPEP 609.07 states:
Applicants and registered practitioners are permitted to sign portions of an EFS-Web submission, including an IDS, with an electronic signature. See 37 CFR 1.4(d)(3).
This means that when submitting an e-IDS through the USPTO’s Electronic Filing System-Web (EFS-Web), you can use an electronic signature to sign the submission. This aligns with the USPTO’s broader acceptance of electronic signatures in patent applications and related documents, as outlined in 37 CFR 1.4(d)(3).
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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 ยง 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.
Can I file a provisional application electronically?
Yes, you can file a provisional application electronically through the USPTO’s Electronic Filing System (EFS-Web). The MPEP 201.04 states:
“Applicants can file provisional applications electronically using EFS-Web or Patent Center.”
Electronic filing offers several advantages, including:
- Immediate confirmation of receipt
- Potential for reduced filing fees
- Faster processing times
- 24/7 availability
To file electronically, you’ll need to prepare your application documents in the appropriate format and submit them through the USPTO’s EFS-Web system or Patent Center.
For more information on EFS-Web, visit: EFS-Web.
For more information on electronic filing, visit: electronic filing.
For more information on Patent Center, visit: Patent Center.
For more information on provisional application, visit: provisional application.
Yes, an applicant can withdraw their authorization for email communication with the USPTO. According to MPEP 502.03:
‘A written authorization may be withdrawn by filing a signed paper clearly identifying the original authorization.’
The USPTO provides a sample form for withdrawing authorization:
‘The authorization given on______, to the USPTO to communicate with any practitioner of record or acting in a representative capacity in accordance with 37 CFR 1.33 and 37 CFR 1.34 concerning any subject matter of this application via video conferencing, instant messaging, or electronic mail is hereby withdrawn.’
To facilitate processing, the USPTO recommends using Form PTO/SB/439, available at www.uspto.gov/patent/patents-forms. This form can be filed via EFS-Web using the document description ‘Internet Communications Authorization Withdrawn’.
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Can a provisional application be filed electronically?
Yes, provisional applications can be filed electronically. The MPEP 601.01(b) states:
“A provisional application may be filed electronically using the EFS-Web or Patent Center.”
Electronic filing offers several advantages, including:
- Immediate confirmation of receipt
- Potentially lower filing fees
- Faster processing times
Applicants should ensure they follow the USPTO’s guidelines for electronic filing to ensure proper submission and processing of their provisional application.
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