Mailing Provisional Application for Patent to United States Patent and Trademark Office

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1 Mailing Provisional Application for Patent to United States Patent and Trademark Office Introduction The method by which an applicant mails a patent application to the United States Patent and Trademark Office (USPTO) is exceedingly important. Under normal circumstances, the applicant will not receive the official filing receipt from the USPTO for approximately three months. The filing receipt will reveal the filing date and the serial number of the application. In the meantime, it is unknown if the application was lost in the mail and not received by the USPTO or if the application was not properly channeled within the USPTO. If the application is not properly channeled within the USPTO or if a sheet of the application is misplaced, the applicant will eventually receive a notice of incomplete application instead of a filing receipt. When the application is lost in the mail, no further communication will be received from the USPTO. Safeguards have been implemented to avoid the above problems and to allow the applicant use of the Patent Pending label immediately upon depositing the application with the U.S. Postal Service. Instructions for mailing in accordance with this procedure are set forth below. Complete Application The complete application for provisional patent includes six documents. These are listed below, in order from the top. 1. Post card 2. Check 3. Certificate of Express Mail 4. Provisional Application for Patent Cover Sheet 5. Specification 6. Drawings Each document must be either typed or neatly printed in black ink. The several documents are held together with a paper clip in the upper left corner. No other way is acceptable. The documents cannot be folded. Prior to mailing, the applicant must make copies of each document, including the check and both sides of the postcard. Each of these documents will be explained in detail as the instructions ensure. 1

2 Postcard The first document of the application is the postcard. The front of the post card is stamped and addressed back to the inventor, as shown below. John Q. Inventor 1234 Main Street Anytown, AZ On the back are listed all of the documents of the package, as shown below. Please acknowledge receipt of the following: Check in the amount of $ Certificate of Express Mail Application for Provisional Patent Cover Sheet pages of specification sheets of informal drawings The package will be received within the USPTO by a postal clerk. The clerk will examine the package to determine that all documents are included. The clerk will then stamp the card with the official USPTO stamp and mail back to the applicant. This should be received by the applicant within a couple of weeks. It is legal proof that the 2

3 complete application was received. The clerk will then send the application for routing within the USPTO. Check The check is made out to the Commissioner for Patents in the amount of the current filing fee. Filing fees are subject to periodic change. The current filing fee can be found on a computer by going to When the USPTO home page appears, click on the following in order: Site Index at the top of the page. F at the top of the new page. Fees, USPTO Current Fee Schedule at the top of the new page. When the next page appears, scroll down to Provisional application filing fee. Fees are listed under two headings: Fee and Small Entity Fee. Fee is the full filing free which is applicable to large entities, such as a corporation having many employees. Individual inventors and small business qualify for Small Entity Fee. Payment can be made by check, cashier's check or money order and must be made payable to "Director of the U.S. Patent and Trademark Office". Certificate of Express Mail The Certificate of Express Mail, in combination with the mailing label as will be discussed later, establish legal proof of the date on which the complete application was deposited with the U.S. Postal Service. A copy of the Certificate of Express Mail is duplicated on the next page for reference. Near the top of the page, opposite Applicant, the name of the applicant is entered. The applicant can choose either middle name or initial, but must be consistent throughout all documents. Opposite Title the name of the invention, as set forth as the heading of the specification, is entered. No entry is made opposite Serial Number. Within the body of the letter, the number of sheets of specification and the number of pages of drawings are entered. The applicant will sign on the line above Signature of Applicant. The name of the applicant is typed or printed below. Also required are Address and Phone number of the applicant. No other entries are made at this time. 3

4 IN THE UNITED STATES PATENT AND TRADEMARK OFFICE Applicant: Serial Number: Filed: Herewith Title: Commissioner for Patents P.O. Box 1450 Alexandria, VA Dear Sir: CERTIFICATE OF EPRESS MAIL Express Mail mailing label number: Date of Deposit: I hereby certify that the attached and executed Application For Provisional Patent Cover Sheet; application including pages specification and sheets informal drawings; check for appropriate fee; and a postcard, addressed and stamped are being deposited with the United States Postal Service Express Mail Post Office to Addressee in accordance with the provisions of 37 CFR 1.10, addressed to the Commissioner for Patents, P.O. Box 1450, Alexandria, VA on. Respectfully submitted, Signature of Applicant Name of Applicant: Address: Phone number: 4

5 Cover Sheet The Provisional Application for Patent Cover Sheet is a government document provided by the USPTO. It is subject to periodic revision. To obtain the current version, on the web go to When the USPTO home page appears, click on the following in order: Site Index at the top of the page. F at the top of the new page. Forms, USPTO When the FORMS page appears read the information at the top of the page. Then scroll down to and click on: PTO/SB/16 Provisional Application Patent Cover Sheet. The document will be presented in a form that can be downloaded and printed. The document includes two pages of application and one page setting forth privacy rights. The cover sheet is intended to be completed by the patent practitioner representing the applicant. Accordingly, it requires information concerning each. When not represented by counsel, the applicant is required to provide additional information and omit certain data. The cover sheet must either be typed or legibly printed in black ink. For purposes of illustration, the cover sheet which follows is completed for filing the previously described sample Hinge application. Each entry to be made by applicant will be explained. INVENTOR(S) If the application is the product of more than one inventor, the required data for each must be entered. TITLE OF THE INVENTION Enter the same title that appears on the application. Firm or Individual Name Check the box and enter the requested data. This is the contact name and address for the USPTO. ENCLOSED APPLICATION PARTS Specification check box and enter number of pages of written description. Drawings check box and enter number of sheets of drawings. METHOD OF PAYMENT Applicant claims small entity status check box. A check or money order is enclosed check box and enter amount in box above Total Fee Amount ($). The invention was made by an agency check box opposite No. At the bottom of the form enter required data next to SIGNATURE, TYPED or PRINTED NAME, TELEPHONE and DATE. 5

6 John Q. Inventor Phoenix, Arizona Hinge John Q. Inventor 1234 South Main Street Phoenix Arizona USA $

7 John Q. Inventor 23 July 2007 John Q. Inventor

8 Mailing Instructions Preliminary to Mailing It is absolutely necessary to make and keep copies of all the documents, including the check and both sides of the post card. Do not fold nor staple these papers. Put them away for safe keeping, as they may become absolutely in the future. The original documents are then assembled as a package in the order described above, fastened with a paper clip in the upper left corner and placed in an unsealed envelope. The envelope should be of the standard 9 12 size and the enclosed documents cannot be folded, stapled or otherwise assembled, except for a paper clip in the upper left corner. The envelope is addressed as set forth at the bottom of the first page of the cover sheet. As previously noted, the applicant must make copies of all documents, including the check and both sides of the postcard prior to mailing. Mailing Procedure The application is now taken to the local post office. The postal worker is informed that the envelope, with contents, is to be sent as Express Mail to Addressee. The postal worker will fasten a label to the envelope and give the applicant a copy of the postal label. A number will be present on the label. After receiving the mail label, remove the documents from the envelope and place the label number opposite Express Mail mailing label number on the Certificate of Express Mail and enter the current date opposite Date of Deposit and on the line at the end of the paragraph. The label number is also entered at the top of page 1 of the cover sheet on the line opposite Express Mail Label No. The envelope containing the complete application is then sealed and given to the postal clerk. For legal purposes, the application is considered Patent Pending on the date mailed, when sent in accordance with the foregoing. The applicant has immediate use of Patent Pending when exiting the post office. A copy of the Express Mailing Label given to the applicant is then paper clipped to the copies of the documents retained by the applicant. The date of mailing is kept in confidence by the applicant and divulged on a need-to-know basis. 8