500

OCR transcription for search; preserved printed pages are authoritative

# Chapter 500 Receipt and Handling of Mail and Papers

## 501 Papers Received by Correspondence and Mail Branch

502 Depositing Papers
503 Serial Number and Filing Receipt
304 Register of Applications

505
5 "Office Date" Stamp of Receipt

506
Completeness of Original Application
506.01 Return of Incomplete Application
507 Drafting Branch

508 Distribution

508.01 Papers Sent to Wrong Group
508.02 Papers Received After Patenting or Aban-
donment

### 501 Papers Received by Correspond- ence and Mail Branch [R-28]

The official mailing address for all com-
munications sent to the Patent Office remains :
Commissioner of Patents
Washington, D.C. 20231

The physical location of the Office is 2021
Jefferson Davis Highway. Arlington, Virginia.
This address should not be used on mail sent
to the Patent Office.

All mailed communications are received by
the Incoming-Mail Section of the Correspond-
ence and Mail Branch, which opens and distrib-
utes all official mail.

### 502 Depositing Papers [R-28]

Rule 5. Identification of application. patent or
registration. (a) When a letter concerns an application
for patent, it should state the name of the applicant.
the title of the invention. the serial number of the
application, the date of filing the same, and. if known,
the group art unit and name of the examiner to which
it has been assigned ( see rule 55).

(b) When the letter concerns a patent, it should
state the number and date of issue of the patent, the
name of the patentee, and the title of the invention.

(e) A letter relating to a trademark application
should identify it as such and by the name of the ap-
plieant and the serial number and filing date of the
application. A letter relating to a registered trade-
mark should identify it by the name of the registrant
and by the number and date of the certificate.

Applications, amendments and other papers
may be sent to the Patent Office by mail. or they
may be deposited in the Correspondence and
Mail Branch or in a box which is kept in the
lobby of building 3 of the Patent Office for this
purpose.

The Patent Office ZIP Code designation
"20231" should be used when writing the Patent
Office for any matter. In addition. the sender's
own ZIP Code designation should be given.

## HAND DELIVERY OF PAPERS

For purposes of convenience in those cases
where the attorney and the Examiner agree that
a proposed amendment discussed during a per-
sonal interview would place the application in
condition for allowance, the amendment may
be left with the Examiner to become an official
paper in the file without routing through the
mail room. provided no additional fees are re-
quired. Where the case is under final rejection,
if changes in the proposed amendment are nec-
essary and these changes are not practical to be
made by Examiner's amendment, the attorney
or his local representative will be permitted to
hand deliver a corrected amendment to the Ex-
aminer, provided no additional fees are required
and further that the amendment is submitted
to the Examiner by the end of the next working
day following the interview and within the
period for response.

The Examiner who accepts these amendments
must date. initial and write "entry approved"
in the left-hand margin of the first page of the
amendment.

Attorneys may also celiver requests for ex-
tension of time to the Examining Groups.

A duplicate copy of officially date-stamped
papers may be hand delivered. See $$ 104,
710.02(e) and 713.01.

The Office often experiences difficulty in
matching incoming papers with the application
file to which they pertain because insufficient or
erroneous information is given. This applies
especially to amendments, powers of attorney,
changes of : biress, status letters, requests for
extension of time, and petitions.

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Frequently, there are errors in the serial num-
ber or in the Group Art Unit number, or the
incoming paper uses the old Group Art Unit
number where an application has been trans-
ferred and acted on by a different Examining
Group.

Where the Group Art Unit number is entirely
omitted. the routine operations of the Applica-
tion Branch must be interrupted solely for the
purpose of determining the location of the ap-
plication so that the communication can be
properly routed. Under these circumstances the
efficiency of the Application Branch is impaired
and the incoming paper is delaved in reaching
its proper destination. Where such papers are
not essential to compliance with a statutory
period of time limit for response. they may be
returned for completion to identify the location
of the files.

It would be of great assistance to the Office if
all incoming papers pertaining to a filed appli-
cation carried the following items :

1\. Serial number (checked for accuracy).

2\. Group Art Unit number (copied from
filing receipt or most recent Office Ac-
tion ).

3\. Filing date.

4\. Name of the Examiner who prepared the
most recent Office Action.

5\. Title of Invention.

To further reduce the burden on the Applica-
tion Branch and the Examining Groups. it is
also requested that the submission of additional
or supplemental papers on a newly filed appli-
cation be deferred until a filing receipt has been
received. In the same vein. it would be appre-
ciated if the filing of additional papers relating
to an allowed application were deferred until
a notice of allowance (POL-85) was received.

If the above suggestions are adopted the proc-
essing of both new and allowed applications
could proceed more efficiently and promptly
through the Patent Office.

Rule G. Receipt of letters and paper ?. va) Letters
and other papers received in the Patent Office are
stamped with the date of receipt. No papers are
received in the Patent Office on Saturdays. Sundays or
holidays within the District of Columbia.

(b) Mail placed in the Patent Office pouch up to
midnight on weekdays, excepting Saturdays and holi-
days. by the post office at Washington. D.C .. serving
the Patent Office. is considered as having been received
in the Patent Office on the day it was so placed in
the pouch.

(c) In addition to being mailed or delivered by
hand during office hours, letters and other papers may
be deposited up to midnight in a box provided at the
guard's desk at the lobby of building 3 of the Patent
Office at Crystal Plaza, Arlington. Virginia and at the

main entrance of the Department of Commerce build-
ing, Washington, D.C., on weekdays except Saturday
and holidays, and all papers deposited therein are
considered as received in the Patent Office on the day
of deposit.

### 503 Serial Number and Filing Receipt [R-28]

Application Branch now assigns a Serial
Number to each application filed.

It should be recognized that the identification
of an application by Serial Number does not
necessarily signify that the Patent Office has
accepted the application as complete. After the
application has been reviewed for statutory com-
pliance and given an official filing date, the
usual filing receipt will be mailed.

In the Application Branch each application
which meets the formal requirements as to
completeness is given a filing date. It is impor-
tant. when referring to application files, to iden-
tify them by their filing dates as well as by
Serial Numbers.

The Application Branch mails a receipt to
the attorney or agent. if any, otherwise to the
applicant. for each application filed, giving the
serial number. filing date. and group to which
assigned. The filing receipt may contain nota-
tions of apparent omissions. See § 506.

In the Application Branch the application
papers. with the exception of the drawing. are
placed in a file wrapper and certain data placed
thereon.

If early notification of the serial number is
also desired. an additional self-addressed post
card should be submitted. Upon receipt of ap-
plication papers with two return post cards.
Correspondence and Mail Division will stamp
both vards with the receipt date and return one
card to the sender. The second card will be for-
warded to the Application Branch where both
the card and application papers will be stamped
with a serial muimber and the card returned to
the sender.

The identifying data on the post card in-
tended for evidence that the Patent Office has
received a complete set of application paper-
should include applicant's name (s) : title of the
invention : minber of pages of specification.
claims, and sheets of drawing : whether oath or
declaration used: and amount and manner of
paying the fee.

If a receipt of any paper filed in the Patent
Office is desired, it may be obtained by enclosing
with the paper a self-addressed post card iden-
tifying the paper. The Patent Office will stamp
the receipt date on the card and place it in the
ont going mail.

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The identifying data on the card should be
so complete as to match the paper with the ap-
plication or other document to which it is to be
associated. For example. the document should
be identified by the applicant's name (s), serial
number. filing date, interference number. etc ..
and the paper should be identified by specifying
the type thereof, namely. affidavit. amendment.
appeal. application papers. brief. drawings.
fees. motions, supplemental oath or declaration.
petition, etc.

When papers for more than one document are
filed under a single cover a return addressed
post card should be attached to the paper for
each document for which a receipt is desired.

#### 504 Register of Applications [R-22]

The Application Branch assigns the applica-
tion to the examining group to which it appears
to belong. A list of all applications arranged by
serial numbers as well as an alphabetically ar-
ranged card index of the applicants is kept by
the Application Branch and the identification
of the group to which each application is sent
is made part of this record.

##### 505 "Office Date" Stamp of Receipt [R-28]

In whatever manner an application or any
part thereof. or an amendment, letter, or other
paper is transmitted. the date of i's receipt is
stamped thereon by the Correspondence and
Mail Division. The stamp is referred to as the
"Office Date" stamp and. if the application is
complete (See rule 55). establishes the "filing
date."

##### 506 Completeness of Original Appli- cation [R-30]

If the application papers are too informal to
be given a filing date. the case is held in the
Application Branch as an incomplete applica-
tion and the applicant. is informed of the short-
comings of the papers. No filing date is granted
until the incompleteness is corrected.

Such informality may consist of the omission
of any one of the component parts of an appli-
cation. The component parts of an application
are:

1\. A declaration or oath. 35 U.S.C. 111.

2\. A specification. 35 U.S.C. 112.

3\. A claim. 35 U.S.C. 112.

4\. A drawing. 35 U.S.C. 113.

5\. Basic statutory filing fee of $65.

An application is informal if it is typed on
both sides of the paper. or is not permanent.
legible or reproducible. If such informalities

are timely corrected. the application is given
the filing date on which the original informal
papers were filed.

The Application Branch accords a filing date,
as of the date of receipt in the Office, to appli-
cation papers which include all of the necessary
components of a complete application required
by statute, but are informal because they do not
comply with the rules or notices. In such ap-
plications. the Application Branch prepares a
letter indicating the informality and places it
in the file wrapper. When the application is
received in the group. the clerical staff mails
the letter to applicant. Such letters give a two
month period for response. Failure to correct
the informality within the specified time results
in abandonment of the application.

An application too informal to be admitted
for examination may receive as its filing date.
the date it was originally presented only under
the conditions set forth in rule 183. and only
when a satisfactory showing is made that a
proper application could not be submitted orig-
inally and that applicant will suffer irreparable
damage if the filing date sought is not accorded.

Inquiries directed to the Application Branch.
either in person or by telephone. concerning
patent applications should not be made during
the morning hours between 8:30 and 10:30.

The letter of transmittal accompanying the
filing of continuing applications should include
such additional information as the identifica-
tion by serial number of the parent application.
its status, and location in the Patent Office. The
supplying of this information will permit the
processing of these applications more rapidly
than at present.

When a new application is filed with a re-
quest to transfer drawings under ruie 58. the
application papers should include drawing
prints to enable the Application Branch to
process the case before transfer of the formal
drawings is effected.

## 506.01 Return of Incomplete Appli- cation [R-24]

If a request is made, the parts of an incom-
plete application are returned by the Applica-
tion Branch. They may be used by applicant as
part of a complete application if the missing
parts are later supplied. See rule 53.

## 507 Drafting Branch [R-28]

The drawing is sent to the Drafting Branch
to be inspected for formal compliance with the
rules. If the drawing is satisfactory. it is
stamped "approved". If the drawing contains
defects which are not so serious as to warrant

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holding the application to be incomplete, the
Draftsman checks the appropriate notation on
the "Notice of Informal Patent Drawing" form
PO-948.

See § 608.02(a) for handling of photoprints
filed in lieu of drawings.

### 508 Distribution [R-22]

The Application Branch has permanent
prints made of the drawings of all complete
applications and secures the prints in the file
wrappers. The drawings and files are then as-
sembled and forwarded to the proper examin-
ing group.

When a new or substitute drawing is re-
ceived. a print is made and forwarded to the
group to be placed in the file as an official
paper.

As to the procedure to be followed when a
model is filed, see §§ 608.03 and 608.03(a).

#### 508.01 Papers Sent to Wrong Group [R-22]

Drawings, amendments and other papers
that are delivered to groups to which they do
not belong should be promptly returned to the
Application Branch for re-routing. Papers
may be forwarded to the correct destination,
if known.

A terminal disclaimer should not be routed
directly to an examining group. If such a
paper (without the file) is received. it should
be promptly forwarded without the file to the
Issue and Gazette Branch. In some situations
the Issue and Gazette Branch may be holding a
terminal disclaimer. This may be checked by
calling the Chief of the Issue and Gazette
Branch by telephone.

## 508.02 Papers Received After Patent- ing or Abandonment [R-28]

After an application is patented or aban-
doned, any incoming communication which is
not to become part of the record is sent to
the Correspondence and Mail Division for han-
dling with the status of the application indi-
cated thereon.

## 509 Payment of Fees [R-30]

Rule 22. Focs payable in advance. Fees and charges
payable to the Patent Office are required to be paid in
advance. that is, at the time of making application for
any action by the Office for which a fee of charge is
payable.

Rule 23. Method of payment. All payments of money
required for Patent Office fees should be made in

United States specie. Treasury notes, national bank
notes, post office money orders, or by certified checks.
If sent in any other form, the Office may delay or can-
cel the credit until collection is made. Money orders
and checks must be made payable to the Commissioner
of Patents. Remittances from foreign countries must.
be payable and immediately negotiable in the United
States for the full amount of the fee required. Money
sent by mail to the Patent Office will be at the risk of
the sender: letters containing money should be
registered.

Rule 24. Coupons. Coupons in denominations of
twenty cents and fifty cents are sold by the Patent
Office for the convenience of regular purchasers of U.S.
patents. designs, and trademark registrations ; these
coupons may not be used for any other purpose. The
20-cent coupons are sold individually and in books of
50 with stubs for record for $10.00. The 50-cent coupons
are sold individually and in pads of 10 for $5.00 and
in books of 50 with stubs for record for $25.00. These
coupons are good until used : they may be transferred
but cannot be redeemed.

NOTE: Public document coupons issued by the Super-
intendent of Documents cannot be used in the Patent
Office, nor can the coupons issued by the Patent Office
be used at the Government Printing Office or elsewhere.

Rule 25. Deposit accounts. (a) For the convenience
of attorneys, agents, and the general public in ordering
services offered by the Office. copies of records, etc.,
special deposit accounts may be established in the
Patent Office. A minimum deposit of $50.00 or more,
depending on the activity of the individual account. is
required. At the close of each month's business, a
statement will be rendered. A remittance must be made
promptly upon receipt of the statement to cover the
value of items or services charged to the account and
thus restore the account to its established normal de-
posit value. An amount sufficient to cover all services,
copies, etc .. requested must always be on deposit.

(b) Filing, issue, appeal, and petition fees may be
charged against these accounts.

An overdrawn account will be immediately
suspended and no charges will be accepted
against it until a proper balance is restored.
together with a payment of ten dollars to cover
the work done by the Patent Office incident to
suspending and reinstating the account and
dealing with charges which may have been
made in the meantime. It is expected, however.
that reasonable precautions will be taken in all
cases to avoid overdrafts. and if an account is
suspended repeatedly it will be necessary to
close it.

Similarly, because of the burden placed on
the Patent Office incident to the operation of
deposit accounts. a charge of ten dollars will be
made for opening each new account.

The Patent Office will now accept. lists of
fifty (50) or more numbers arranged in numeri-
cal sequence to be charged to Deposit Accounts.

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# RECEIPT AND HANDLING OF MAIL AND PAPERS

509

Service charges, such as Special Handling and
Air Mail postage for these orders. may also be
charged to Deposit Accounts.

Rule 26. Refunds. Money paid by actual mistake or
in excess, such as a payment not required by law. will
be refunded. but a mere change of purpose after the
payment of money. as when a party desires to with-

draw his application or to withdraw an appeal, will
not entitle a party to demand such a return. Amounts
of ten cents or less will not be returned unders special.
cally demanded, within a reasonable time, nor will the
payer be notified of such amount : amounta over ton
cents but less than one dollar may be returned in post-
age stamps, and other amounts by check.

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