Patent Law FAQ

The USPTO follows a strict procedure for handling telephone and in-person requests for information about unpublished pending or abandoned patent applications:

1. Obtain the caller’s full name, application number, and telephone number
2. Verify the caller’s identity and authority to receive information
3. Check Patent Data Portal or the application file to verify releasable information
4. Return the call using a verified telephone number

Information is only released to authorized individuals, such as the patent practitioner of record, inventor, applicant, or authorized representative of the assignee of record.

According to 37 CFR 1.9(a)(1), a national application is defined as:

• A U.S. application for patent filed in the USPTO under 35 U.S.C. 111
• An international application filed under the Patent Cooperation Treaty in which the basic national fee under 35 U.S.C. 41(a)(1)(F) has been paid
• An international design application filed under the Hague Agreement in which the USPTO has received a copy of the international registration pursuant to Hague Agreement Article 10

This definition encompasses various types of patent applications that are treated as national applications by the USPTO.

According to 37 CFR 1.9(a)(1), a national application is defined as:

• A U.S. application for patent filed in the USPTO under 35 U.S.C. 111
• An international application filed under the Patent Cooperation Treaty in which the basic national fee under 35 U.S.C. 41(a)(1)(F) has been paid
• An international design application filed under the Hague Agreement in which the USPTO has received a copy of the international registration pursuant to Hague Agreement Article 10

This definition encompasses various types of patent applications that are treated as national applications by the USPTO.

An applicant who shows sufficient proprietary interest in the matter must submit a petition with their patent application, including:

1. The fee set forth in § 1.17(g)
2. A showing that the person has sufficient proprietary interest in the matter
3. A statement that making the application for patent by this person on behalf of and as agent for the inventor is appropriate to preserve the rights of the parties

This requirement is outlined in 37 CFR 1.46(b)(2): If the applicant is a person who otherwise shows sufficient proprietary interest in the matter, such applicant must submit a petition including: (i) The fee set forth in § 1.17(g); (ii) A showing that such person has sufficient proprietary interest in the matter; and (iii) A statement that making the application for patent by a person who otherwise shows sufficient proprietary interest in the matter on behalf of and as agent for the inventor is appropriate to preserve the rights of the parties.

No, USPTO employees cannot apply for patents while employed. According to 35 U.S.C. 4:

‘Officers and employees of the Patent and Trademark Office shall be incapable, during the period of their appointments and for one year thereafter, of applying for a patent…’

This restriction extends for one year after their employment at the USPTO ends.

According to 37 CFR 3.71(b), the assignees who may conduct prosecution of a patent application as the applicant are:

1. A single assignee who is the assignee of the entire right, title and interest in the application or patent, or
2. All partial assignees, or all partial assignees and inventors who have not assigned their rights, who together own the entire right, title and interest in the application or patent.

The MPEP states: “As the applicant, the owner or assignee that is not a juristic entity can sign a reply to an Office action (37 CFR 1.33(b)(3)), a request for a continued prosecution application under 37 CFR 1.53(d) (MPEP § 201.06(d)), a disclaimer under 37 CFR 1.321 (MPEP § 1490), Fee(s) Transmittal (PTOL-85B) (MPEP § 1306), or a request for status of an application (MPEP § 102).”

An applicant who shows sufficient proprietary interest in the matter must submit a petition with their patent application, including:

1. The fee set forth in § 1.17(g)
2. A showing that the person has sufficient proprietary interest in the matter
3. A statement that making the application for patent by this person on behalf of and as agent for the inventor is appropriate to preserve the rights of the parties

This requirement is outlined in 37 CFR 1.46(b)(2): If the applicant is a person who otherwise shows sufficient proprietary interest in the matter, such applicant must submit a petition including: (i) The fee set forth in § 1.17(g); (ii) A showing that such person has sufficient proprietary interest in the matter; and (iii) A statement that making the application for patent by a person who otherwise shows sufficient proprietary interest in the matter on behalf of and as agent for the inventor is appropriate to preserve the rights of the parties.

No, USPTO employees cannot apply for patents while employed. According to 35 U.S.C. 4:

‘Officers and employees of the Patent and Trademark Office shall be incapable, during the period of their appointments and for one year thereafter, of applying for a patent…’

This restriction extends for one year after their employment at the USPTO ends.

The USPTO generally does not engage in double correspondence with applicants and their representatives. Specifically:

• The Office will not correspond with both an applicant and their attorney/agent.
• The Office will not correspond with more than one attorney/agent.
• If double correspondence is attempted, the examiner will include form paragraph 4.01 in the next Office action.

According to MPEP 403: “Double correspondence with an applicant and their attorney, or with two representatives, will not be undertaken. See MPEP §§ 403.01(a), 403.01(b), 403.02, and 714.01(d).”

Form paragraph 4.01 states: “Applicant has appointed an attorney or agent to conduct all business before the Patent and Trademark Office. Double correspondence with an applicant and applicant’s attorney or agent will not be undertaken. Accordingly, applicant is required to conduct all future correspondence with this Office through the attorney or agent of record. See 37 CFR 1.33.”

The USPTO generally does not engage in double correspondence with applicants and their representatives. Specifically:

• The Office will not correspond with both an applicant and their attorney/agent.
• The Office will not correspond with more than one attorney/agent.
• If double correspondence is attempted, the examiner will include form paragraph 4.01 in the next Office action.

According to MPEP 403: “Double correspondence with an applicant and their attorney, or with two representatives, will not be undertaken. See MPEP §§ 403.01(a), 403.01(b), 403.02, and 714.01(d).”

Form paragraph 4.01 states: “Applicant has appointed an attorney or agent to conduct all business before the Patent and Trademark Office. Double correspondence with an applicant and applicant’s attorney or agent will not be undertaken. Accordingly, applicant is required to conduct all future correspondence with this Office through the attorney or agent of record. See 37 CFR 1.33.”

To qualify for micro entity status, an applicant must meet the following requirements:

• Qualify as a small entity
• Not be named as an inventor on more than 4 previously filed patent applications
• Not have a gross income exceeding 3 times the median household income in the previous calendar year
• Not have assigned, licensed, or be obligated to assign or license rights to an entity that exceeds the gross income limit

Alternatively, an applicant can qualify if they are employed by or have assigned rights to an institution of higher education.

If the drawings in a patent application are not in compliance with the rules, the Office of Patent Application Processing (OPAP) will send a Notice to File Corrected Application Papers. This notice gives the applicant a time period of 2 months from the mailing date to file corrected drawings. The time period is extendable under 37 CFR 1.136(a). If corrected drawings are not timely filed, the application will be held abandoned.

The USPTO strongly recommends the following methods for filing new patent applications:

1. Electronic Filing System (EFS-Web or Patent Center): This is the preferred method whenever permitted.
2. Priority Mail Express®: If not filing electronically, use this method in accordance with 37 CFR 1.10 to secure the date of deposit as the filing date.
3. 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 Express® 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 Express® 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.”

If the drawings in a patent application are not in compliance with the rules, the Office of Patent Application Processing (OPAP) will send a Notice to File Corrected Application Papers. This notice gives the applicant a time period of 2 months from the mailing date to file corrected drawings. The time period is extendable under 37 CFR 1.136(a). If corrected drawings are not timely filed, the application will be held abandoned.

To qualify for micro entity status, an applicant must meet the following requirements:

• Qualify as a small entity
• Not be named as an inventor on more than 4 previously filed patent applications
• Not have a gross income exceeding 3 times the median household income in the previous calendar year
• Not have assigned, licensed, or be obligated to assign or license rights to an entity that exceeds the gross income limit

Alternatively, an applicant can qualify if they are employed by or have assigned rights to an institution of higher education.

The USPTO strongly recommends the following methods for filing new patent applications:

1. Electronic Filing System (EFS-Web or Patent Center): This is the preferred method whenever permitted.
2. Priority Mail Express®: If not filing electronically, use this method in accordance with 37 CFR 1.10 to secure the date of deposit as the filing date.
3. 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 Express® 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 Express® 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.”

According to 37 CFR 1.9(a)(1), a national application is defined as:

• A U.S. application for patent filed in the USPTO under 35 U.S.C. 111
• An international application filed under the Patent Cooperation Treaty in which the basic national fee under 35 U.S.C. 41(a)(1)(F) has been paid
• An international design application filed under the Hague Agreement in which the USPTO has received a copy of the international registration pursuant to Hague Agreement Article 10

This definition encompasses various types of patent applications that are treated as national applications by the USPTO.

To qualify for micro entity status, an applicant must meet the following requirements:

• Qualify as a small entity
• Not be named as an inventor on more than 4 previously filed patent applications
• Not have a gross income exceeding 3 times the median household income in the previous calendar year
• Not have assigned, licensed, or be obligated to assign or license rights to an entity that exceeds the gross income limit

Alternatively, an applicant can qualify if they are employed by or have assigned rights to an institution of higher education.

The USPTO follows a strict procedure for handling telephone and in-person requests for information about unpublished pending or abandoned patent applications:

1. Obtain the caller’s full name, application number, and telephone number
2. Verify the caller’s identity and authority to receive information
3. Check Patent Data Portal or the application file to verify releasable information
4. Return the call using a verified telephone number

Information is only released to authorized individuals, such as the patent practitioner of record, inventor, applicant, or authorized representative of the assignee of record.

If the drawings in a patent application are not in compliance with the rules, the Office of Patent Application Processing (OPAP) will send a Notice to File Corrected Application Papers. This notice gives the applicant a time period of 2 months from the mailing date to file corrected drawings. The time period is extendable under 37 CFR 1.136(a). If corrected drawings are not timely filed, the application will be held abandoned.

An applicant who shows sufficient proprietary interest in the matter must submit a petition with their patent application, including:

1. The fee set forth in § 1.17(g)
2. A showing that the person has sufficient proprietary interest in the matter
3. A statement that making the application for patent by this person on behalf of and as agent for the inventor is appropriate to preserve the rights of the parties

This requirement is outlined in 37 CFR 1.46(b)(2): If the applicant is a person who otherwise shows sufficient proprietary interest in the matter, such applicant must submit a petition including: (i) The fee set forth in § 1.17(g); (ii) A showing that such person has sufficient proprietary interest in the matter; and (iii) A statement that making the application for patent by a person who otherwise shows sufficient proprietary interest in the matter on behalf of and as agent for the inventor is appropriate to preserve the rights of the parties.

The USPTO strongly recommends the following methods for filing new patent applications:

1. Electronic Filing System (EFS-Web or Patent Center): This is the preferred method whenever permitted.
2. Priority Mail Express®: If not filing electronically, use this method in accordance with 37 CFR 1.10 to secure the date of deposit as the filing date.
3. 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 Express® 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 Express® 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.”

No, USPTO employees cannot apply for patents while employed. According to 35 U.S.C. 4:

‘Officers and employees of the Patent and Trademark Office shall be incapable, during the period of their appointments and for one year thereafter, of applying for a patent…’

This restriction extends for one year after their employment at the USPTO ends.

The USPTO generally does not engage in double correspondence with applicants and their representatives. Specifically:

• The Office will not correspond with both an applicant and their attorney/agent.
• The Office will not correspond with more than one attorney/agent.
• If double correspondence is attempted, the examiner will include form paragraph 4.01 in the next Office action.

According to MPEP 403: “Double correspondence with an applicant and their attorney, or with two representatives, will not be undertaken. See MPEP §§ 403.01(a), 403.01(b), 403.02, and 714.01(d).”

Form paragraph 4.01 states: “Applicant has appointed an attorney or agent to conduct all business before the Patent and Trademark Office. Double correspondence with an applicant and applicant’s attorney or agent will not be undertaken. Accordingly, applicant is required to conduct all future correspondence with this Office through the attorney or agent of record. See 37 CFR 1.33.”

According to 37 CFR 3.71(b), the assignees who may conduct prosecution of a patent application as the applicant are:

1. A single assignee who is the assignee of the entire right, title and interest in the application or patent, or
2. All partial assignees, or all partial assignees and inventors who have not assigned their rights, who together own the entire right, title and interest in the application or patent.

The MPEP states: “As the applicant, the owner or assignee that is not a juristic entity can sign a reply to an Office action (37 CFR 1.33(b)(3)), a request for a continued prosecution application under 37 CFR 1.53(d) (MPEP § 201.06(d)), a disclaimer under 37 CFR 1.321 (MPEP § 1490), Fee(s) Transmittal (PTOL-85B) (MPEP § 1306), or a request for status of an application (MPEP § 102).”

According to 37 CFR 1.9(a)(1), a national application is defined as:

• A U.S. application for patent filed in the USPTO under 35 U.S.C. 111
• An international application filed under the Patent Cooperation Treaty in which the basic national fee under 35 U.S.C. 41(a)(1)(F) has been paid
• An international design application filed under the Hague Agreement in which the USPTO has received a copy of the international registration pursuant to Hague Agreement Article 10

This definition encompasses various types of patent applications that are treated as national applications by the USPTO.

To qualify for micro entity status, an applicant must meet the following requirements:

• Qualify as a small entity
• Not be named as an inventor on more than 4 previously filed patent applications
• Not have a gross income exceeding 3 times the median household income in the previous calendar year
• Not have assigned, licensed, or be obligated to assign or license rights to an entity that exceeds the gross income limit

Alternatively, an applicant can qualify if they are employed by or have assigned rights to an institution of higher education.

The USPTO follows a strict procedure for handling telephone and in-person requests for information about unpublished pending or abandoned patent applications:

1. Obtain the caller’s full name, application number, and telephone number
2. Verify the caller’s identity and authority to receive information
3. Check Patent Data Portal or the application file to verify releasable information
4. Return the call using a verified telephone number

Information is only released to authorized individuals, such as the patent practitioner of record, inventor, applicant, or authorized representative of the assignee of record.

If the drawings in a patent application are not in compliance with the rules, the Office of Patent Application Processing (OPAP) will send a Notice to File Corrected Application Papers. This notice gives the applicant a time period of 2 months from the mailing date to file corrected drawings. The time period is extendable under 37 CFR 1.136(a). If corrected drawings are not timely filed, the application will be held abandoned.

An applicant who shows sufficient proprietary interest in the matter must submit a petition with their patent application, including:

1. The fee set forth in § 1.17(g)
2. A showing that the person has sufficient proprietary interest in the matter
3. A statement that making the application for patent by this person on behalf of and as agent for the inventor is appropriate to preserve the rights of the parties

This requirement is outlined in 37 CFR 1.46(b)(2): If the applicant is a person who otherwise shows sufficient proprietary interest in the matter, such applicant must submit a petition including: (i) The fee set forth in § 1.17(g); (ii) A showing that such person has sufficient proprietary interest in the matter; and (iii) A statement that making the application for patent by a person who otherwise shows sufficient proprietary interest in the matter on behalf of and as agent for the inventor is appropriate to preserve the rights of the parties.

The USPTO strongly recommends the following methods for filing new patent applications:

1. Electronic Filing System (EFS-Web or Patent Center): This is the preferred method whenever permitted.
2. Priority Mail Express®: If not filing electronically, use this method in accordance with 37 CFR 1.10 to secure the date of deposit as the filing date.
3. 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 Express® 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 Express® 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.”

No, USPTO employees cannot apply for patents while employed. According to 35 U.S.C. 4:

‘Officers and employees of the Patent and Trademark Office shall be incapable, during the period of their appointments and for one year thereafter, of applying for a patent…’

This restriction extends for one year after their employment at the USPTO ends.

The USPTO generally does not engage in double correspondence with applicants and their representatives. Specifically:

• The Office will not correspond with both an applicant and their attorney/agent.
• The Office will not correspond with more than one attorney/agent.
• If double correspondence is attempted, the examiner will include form paragraph 4.01 in the next Office action.

According to MPEP 403: “Double correspondence with an applicant and their attorney, or with two representatives, will not be undertaken. See MPEP §§ 403.01(a), 403.01(b), 403.02, and 714.01(d).”

Form paragraph 4.01 states: “Applicant has appointed an attorney or agent to conduct all business before the Patent and Trademark Office. Double correspondence with an applicant and applicant’s attorney or agent will not be undertaken. Accordingly, applicant is required to conduct all future correspondence with this Office through the attorney or agent of record. See 37 CFR 1.33.”

According to 37 CFR 3.71(b), the assignees who may conduct prosecution of a patent application as the applicant are:

1. A single assignee who is the assignee of the entire right, title and interest in the application or patent, or
2. All partial assignees, or all partial assignees and inventors who have not assigned their rights, who together own the entire right, title and interest in the application or patent.

The MPEP states: “As the applicant, the owner or assignee that is not a juristic entity can sign a reply to an Office action (37 CFR 1.33(b)(3)), a request for a continued prosecution application under 37 CFR 1.53(d) (MPEP § 201.06(d)), a disclaimer under 37 CFR 1.321 (MPEP § 1490), Fee(s) Transmittal (PTOL-85B) (MPEP § 1306), or a request for status of an application (MPEP § 102).”