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501 **>Filing Papers With the U.S. Patent and Trademark Office< [R-2] - 500 Receipt and Handling of Mail and Papers
501 **>Filing Papers With the U.S. Patent and Trademark Office< [R-2]
**>37 CFR 1.1 Addresses for non-trademark correspondence with the United States Patent and Trademark Office.
(a) In general. Except as provided in paragraphs (a)(3)(i), (a)(3)(ii) and (d)(1) of this section, all correspondence intended for the United States Patent and Trademark Office must be addressed to either "Director of the United States Patent and Trademark Office, P.O. Box 1450, Alexandria, Virginia 22313-1450" or to specific areas within the Office as set out in paragraphs (a)(1) and (a)(3)(iii) of this section. When appropriate, correspondence should also be marked for the attention of a particular office or individual.
(1) Patent correspondence.
(i) In general. All correspondence concerning patent matters processed by organizations reporting to the Commissioner for Patents should be addressed to: Commissioner for Patents, PO Box 1450, Alexandria, Virginia 22313-1450.
(ii) Board of Patent Appeals and Interferences: Appeals. All correspondence in an application involved in an appeal to the Board of Patent Appeals and Interferences during the period beginning when an appeal docketing notice is issued and ending when a decision has been rendered by the Board of Patent Appeals and Interferences, as well as any request for rehearing of a decision by the Board of Patent Appeals and Interferences, should be mailed to: Board of Patent Appeals and Interferences, United States Patent and Trademark Office, PO Box 1450, Alexandria, Virginia 22313-1450. Notices of appeal, appeal briefs, reply briefs, requests for oral hearing, as well as all other correspondence in an application involved in an appeal to the Board of Patent Appeals and Interferences for which an address is not otherwise specified, should be addressed as set out in paragraph (a)(1)(i) of this section.
(iii) Board of Patent Appeals and Interferences: Interferences. Except as an administrative patent judge or the Board may otherwise direct, all correspondence relating to patent interferences, or relating to patent applications or patents involved in an interference, should be mailed to: Mail Stop INTERFERENCE, Board of Patent Appeals and Interferences, United States Patent and Trademark Office, PO Box 1450, Alexandria, Virginia 22313-1450.
(2) [Reserved]
(3) Office of General Counsel correspondence.-
(i) Litigation and service. Correspondence relating to pending litigation or otherwise within the scope of part 104 of this title shall be addressed as provided in § 104.2.
(ii) Disciplinary proceedings. Correspondence to counsel for the Director of the Office of Enrollment and Discipline relating to disciplinary proceedings pending before an Administrative Law Judge or the Director shall be mailed to: Office of the Solicitor, PO Box 16116, Arlington, Virginia 22215.
(iii) Solicitor, in general. Correspondence to the Office of the Solicitor not otherwise provided for shall be addressed to: Mail Stop 8, Director of the United States Patent and Trademark Office, PO Box 1450, Alexandria, Virginia 22313-1450.
(iv) General Counsel. Correspondence to the Office of the General Counsel not otherwise provided for, including correspondence to the General Counsel relating to disciplinary proceedings, shall be addressed to: General Counsel, United States Patent and Trademark Office, PO Box 1450, Alexandria, Virginia 22313-1450.
(v) Improper correspondence. Correspondence improperly addressed to a Post Office Box specified in paragraphs (a)(3)(i) and (a)(3)(ii) of this section will not be filed elsewhere in the United States Patent and Trademark Office, and may be returned.
(4) Office of Public Records correspondence.-
(i) Assignments. All patent-related documents to be recorded by the Assignment Services Division, except for documents filed together with a new application or under § 3.81 of this chapter, should be addressed to: Mail Stop Assignment Recordation Services, Director of the United States Patent and Trademark Office, P.O. Box 1450, Alexandria, Virginia 22313-1450. See § 3.27.
(ii) Documents. All requests for certified or uncertified copies of patent documents should be addressed to: Mail Stop Document Services, Director of the United States Patent and Trademark Office, P.O. Box 1450, Alexandria, Virginia 22313-1450.
(b) Patent Cooperation Treaty. Letters and other communications relating to international applications during the international stage and prior to the assignment of a national serial number should be additionally marked "Mail Stop PCT."
(c) For reexamination proceedings.
(1) Requests for ex parte reexamination (original request papers only) should be additionally marked "Mail Stop Ex parte Reexam."
(2) Requests for inter partes reexamination (original request papers) and all subsequent inter partes reexamination correspondence filed in the Office, other than correspondence to the Office of the General Counsel pursuant to § 1.1(a)(3) and § 1.302(c), should be additionally marked "Mail Stop Inter partes Reexam."
(d) Maintenance fee correspondence.-
(1) Payments. Payments of maintenance fees in patents not submitted electronically should be mailed to: United States Patent and Trademark Office, P.O. Box 371611, Pittsburgh, Pennsylvania 15250-1611.
(2) Other correspondence. Correspondence related to maintenance fees other than payments of maintenance fees in patents is not to be mailed to P.O. Box 371611, Pittsburgh, Pennsylvania 15250-1611, but must be mailed to: Mail Stop M Correspondence, Director of the United States Patent and Trademark Office, P.O. Box 1450, Alexandria, Virginia 22313-1450.
(e) Patent term extension. All applications for extension of patent term under 35 U.S.C. 156 and any communications relating thereto intended for the United States Patent and Trademark Office should be additionally marked "Mail Stop Patent Ext." When appropriate, the communication should also be marked to the attention of a particular individual, as where a decision has been rendered.
(f) Provisional applications. The filing of all provisional applications and any communications relating thereto should be additionally marked "Mail Stop Provisional Patent Application."<
37 CFR 1.4 Nature of correspondence and signature requirements.
**>(a) Correspondence with the Patent and Trademark Office comprises:
(1) Correspondence relating to services and facilities of the Office, such as general inquiries, requests for publications supplied by the Office, orders for printed copies of patents, orders for copies of records, transmission of assignments for recording, and the like, and
(2) Correspondence in and relating to a particular application or other proceeding in the Office. See particularly the rules relating to the filing, processing, or other proceedings of national applications in subpart B, §§ 1.31 to 1.378; of international applications in subpart C, §§ 1.401 to 1.499; of ex parte reexaminations of patents in subpart D, §§ 1.501 to 1.570; of interferences in subpart E, §§ 1.601 to 1.690; of extension of patent term in subpart F, §§ 1.710 to 1.785; and of inter partes reexaminations of patents in subpart H, §§ 1.902 to 1.997.
(b) Since each file must be complete in itself, a separate copy of every paper to be filed in a patent, patent file, or other proceeding must be furnished for each file to which the paper pertains, even though the contents of the papers filed in two or more files may be identical. The filing of duplicate copies of correspondence in the file of an application, patent, or other proceeding should be avoided, except in situations in which the Office requires the filing of duplicate copies. The Office may dispose of duplicate copies of correspondence in the file of an application, patent, or other proceeding.
(c) Since different matters may be considered by different branches or sections of the United States Patent and Trademark Office, each distinct subject, inquiry or order must be contained in a separate paper to avoid confusion and delay in answering papers dealing with different subjects.
(d)
(1) Each piece of correspondence, except as provided in paragraphs (e) and (f) of this section, filed in an application, patent file, or other proceeding in the Office which requires a person's signature, must:
(i) Be an original, that is, have an original signature personally signed in permanent ink by that person; or
(ii) Be a direct or indirect copy, such as a photocopy or facsimile transmission ( § 1.6(d)), of an original. In the event that a copy of the original is filed, the original should be retained as evidence of authenticity. If a question of authenticity arises, the Office may require submission of the original.
(iii) [Reserved]
(2) The presentation to the Office (whether by signing, filing, submitting, or later advocating) of any paper by a party, whether a practitioner or non-practitioner, constitutes a certification under § 10.18(b) of this chapter. Violations of § 10.18(b)(2) of this chapter by a party, whether a practitioner or non-practitioner, may result in the imposition of sanctions under § 10.18(c) of this chapter. Any practitioner violating § 10.18(b) may also be subject to disciplinary action. See §§ 10.18(d) and 10.23(c)(15).<
(e) Correspondence requiring person's signature and relating to registration practice before the Patent and Trademark Office in patent cases, enrollment and disciplinary investigations, or disciplinary proceedings must be submitted with an original signature personally signed in permanent ink by that person.
(f) When a document that is required by statute to be certified must be filed, a copy, including a photocopy or facsimile transmission, of the certification is not acceptable.
(g) An applicant who has not made of record a registered attorney or agent may be required to state whether assistance was received in the preparation or prosecution of the patent application, for which any compensation or consideration was given or charged, and if so, to disclose the name or names of the person or persons providing such assistance. Assistance includes the preparation for the applicant of the specification and amendments or other papers to be filed in the Patent and Trademark Office, as well as other assistance in such matters, but does not include merely making drawings by draftsmen or stenographic services in typing papers.
**>
I. GENERAL MAILING ADDRESSES
The U.S. Patent and Trademark Office (Office) has three separate general mailing addresses. The addresses are as follows:
A. For Patent Applications and Patent-Related Papers<
Correspondence in patent-related matters under the direction of the * Commissioner for Patents should be addressed to:
**>Commissioner for Patents
P.O. Box 1450
Alexandria, Virginia 22313-1450<
Such correspondence includes: patent applications, replies to notices of informality, requests for extension of time, notices of appeal to the Board of Patent Appeals and Interferences (the Board), briefs in support of an appeal to the Board, requests for oral hearing before the Board, extensions of term of patent, requests for publication of Statutory Invention Registration (SIR), requests for reexamination, statutory disclaimers, certificates of correction, petitions to the * Commissioner for Patents, submission of information disclosure statements, petitions to institute a public use proceeding, petitions to revive abandoned patent applications, and other correspondence related to patent applications and patents which is processed by organizations reporting to the * Commissioner for Patents.
>Certain patent-related correspondence requires immediate Office attention. Examples are:
(A) Petitions for express abandonment to avoid publication under 37 CFR 1.138(c);
(B) Petitions to withdraw an application from issue under 37 CFR 1.313(c);
(C) Request for expedited examination of a design application (rocket docket); and
(D) Papers required by the Office of Patent Publication to be hand-carried or faxed to the Office of Patent Publication. Applicants are encouraged to transmit these types of correspondence by facsimile transmission or hand-carry them to the appropriate area of the Office for processing. See MPEP § 502.
B. For Trademark Applications and Trademark-Related Papers<
Correspondence in trademark-related matters under the direction of the * Commissioner for Trademarks >or the Trademark Trial and Appeal Board< should be addressed to:
**>Commissioner for Trademarks
2900 Crystal Drive
Arlington, VA 22202-3514<
Such correspondence includes all trademark applications and other trademark-related mail, except for trademark documents sent to the Assignment Division for recordation, requests for certified and uncertified copies of trademark documents, and filings submitted electronically. See 37 CFR *> 2.190<.
>C. For Other Correspondence
Patent and trademark documents sent to the Assignment Division for recordation, requests for certified or uncertified copies of patent and trademark documents, and for correspondence for which an address is not otherwise specified in 37 CFR 1.1, should be addressed to:
Director of the United States Patent and Trademark Office
P.O. Box 1450
Alexandria, VA 22313-1450
II. SEPARATE MAILING ADDRESSES FOR CERTAIN CORRESPONDENCE
The Office has separate mailing addresses for certain correspondence:
(A) Certain court-related correspondence (e.g., summons and complaint) being delivered to the Office via the U.S. Postal Service (USPS) must be addressed:
General Counsel
United States Patent and Trademark Office
P.O. Box 15667
Arlington, VA 22215
(B) Correspondence directed to the Office of Enrollment and Discipline (OED) Director relating to disciplinary proceedings pending before an Administrative Law Judge or the Director must be addressed:
Office of the Solicitor
P.O. Box 16116
Arlington, Virginia 22215
(C) Payments of maintenance fees in patents being delivered to the Office via the USPS should be addressed:
United States Patent and Trademark Office
P.O. Box 371611
Pittsburgh, Pennsylvania 15250-1611
(D) A deposit account replenishment being delivered to the Office via the USPS should be addressed:
Director of the United States Patent and Trademark Office
P.O. Box 70541
Chicago, Illinois 60673
Persons filing correspondence with the Office should check the rules of practice, the Official Gazette, or the Office's Internet Web site (http://www.uspto.gov) to determine the appropriate mailing address for such correspondence.
III. HAND-DELIVERY OF PAPERS
Patent-related papers, other than those that require immediate Office attention, may be hand-carried to the Office. If the correspondence is hand-carried to the Office, it must be delivered to the Customer Window located at:
U.S. Patent and Trademark Office
2011 South Clark Place
Customer Window
Crystal Plaza Two, Lobby, Room 1B03
Arlington, Virginia 22202
See MPEP § 502.<
Trademark-related papers may also be filed at the "walk-up" window located on the third floor of the South Tower Building, 2900 Crystal Drive, Arlington, VA >22202<. Hand delivery of trademark papers and fees directly to the South Tower Building will expedite processing.
As provided in 37 CFR 1.4(c), matters that are to be considered by different branches or sections of the USPTO must be contained in separate papers. The following form paragraph may be used to notify the applicant of this requirement when the applicant has filed a single paper containing distinct subjects, inquiries, or orders.
¶ 5.01.01 Separate Paper Required
The [1] submitted [2] should have been submitted as a separate paper as required by 37 CFR 1.4(c). The paper has been entered. However, all future correspondence must comply with 37 CFR 1.4.
Examiner Note
1. In bracket 1, indicate the item required to be separately submitted, such as an affidavit, petition, or other appropriate document.
2. If the applicant is a pro se inventor, include a copy of the rule.
Those who correspond with the USPTO are strongly encouraged not to include correspondence which will have to be directed to different areas (e.g., Patents and Trademarks) of the Office in a single envelope. Including multiple papers in a single envelope increases the likelihood that one or more of the papers will be delayed before reaching the appropriate area. Placing the papers in separately addressed envelopes will reduce the number of actions being performed by the USPTO unnecessarily or inappropriately. At the present time, use of the wrong mailing address will not affect the filing date assigned to any application or correspondence received in the USPTO, except as specified in **> 37 CFR 1.1(a)(3)(v).<
Except for certain mail addressed incorrectly to the Office of the Solicitor, there will be no penalty for addressing a document to the wrong area within the Office, as long as one of the approved addresses is used. Use of the specific addresses listed within 37 CFR 1.1 is strongly encouraged because it will facilitate the process both for the Office and the filer. Accordingly, a new application incorrectly addressed to the *>Director< will be treated the same as if the application was addressed to the specific * Commissioner.
All mailed communications are received by the Incoming-Mail Section of the Office of Initial Patent Examination (OIPE), which opens and distributes all official mail.
Special *>mail stops< have been established to allow the forwarding of particular types of mail to appropriate areas of the Office as quickly as possible. A list of these *>mail stops< is published weekly in the Official Gazette. Only the specified type of document for a particular *>mail stop< should be placed in an envelope addressed to that *>mail stop<.
If any documents other than the specified type identified for each department are addressed to that department, they will be significantly delayed in reaching the appropriate area for which they were intended.
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