MPEP § 508 — MPEP § 508
Current through: 2022-07-01

508-Distribution 
 
 

 
 
 
 
 
 
 
 

 

 
 
 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

 
 
 
 
 

 
 
 
 
 
 
 
 
 
 
 

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 Manual of Patent Examining Procedure 

 Chapter 0500 

 Section 508 
 

 
 
 
 
 
 508 Distribution [R-07.2015]

 All applications are electronically scanned and loaded into the Image File
 Wrapper (IFW) system upon filing. Once documents are loaded into the IFW system, examiners,
 technical support staff, and other Office personnel will perform further processing and
 examination using the IFW system. 
 

 For handling of models, exhibits, and specimen, see MPEP §§ 608.03 and
 608.03(a) .
 

 
 508.01 [Reserved]

 

 

 
 508.02 Papers Received After Patenting or Abandonment [R-08.2012]

 After an application is patented or abandoned, any incoming
 communication which is not to become part of the record will be returned to the sender.
 If a paper has been scanned into the IFW, “return” of the paper will be accomplished by
 the Office closing it in IFW.
 

 

 
 508.03 [Reserved]

 

 

 
 508.04 Unlocatable Patent or Application Files [R-07.2022]

 
 37 CFR 1.251 Unlocatable file. 

 
 (a) In the event that the Office cannot locate the file of an
 application, patent, or other patent-related proceeding after a reasonable
 search, the Office will notify the applicant or patentee and set a time period
 within which the applicant or patentee must comply with the notice in
 accordance with one of paragraphs (a)(1), (a)(2), or (a)(3) of this
 section.
 
 (1) Applicant or patentee may comply with a notice under this
 section by providing:
 
 (i) A copy of the applicant’s or patentee’s record (if
 any) of all of the correspondence between the Office and the
 applicant or patentee for such application, patent, or other
 proceeding (except for U.S. patent documents);
 

 (ii) A list of such correspondence; and

 (iii) A statement that the copy is a complete and
 accurate copy of the applicant’s or patentee’s record of all of the
 correspondence between the Office and the applicant or patentee for
 such application, patent, or other proceeding (except for U.S.
 patent documents), and whether applicant or patentee is aware of
 any correspondence between the Office and the applicant or patentee
 for such application, patent, or other proceeding that is not among
 applicant’s or patentee’s records.
 

 
 

 (2) Applicant or patentee may comply with a notice under this
 section by:
 
 (i) Producing the applicant’s or patentee’s record (if
 any) of all of the correspondence between the Office and the
 applicant or patentee for such application, patent, or other
 proceeding for the Office to copy (except for U.S. patent
 documents); and
 

 (ii) Providing a statement that the papers produced by
 applicant or patentee are applicant’s or patentee’s complete record
 of all of the correspondence between the Office and the applicant
 or patentee for such application, patent, or other proceeding
 (except for U.S. patent documents), and whether applicant or
 patentee is aware of any correspondence between the Office and the
 applicant or patentee for such application, patent, or other
 proceeding that is not among applicant’s or patentee’s records.
 

 
 

 (3) If applicant or patentee does not possess any record of
 the correspondence between the Office and the applicant or patentee for
 such application, patent, or other proceeding, applicant or patentee must
 comply with a notice under this section by providing a statement that
 applicant or patentee does not possess any record of the correspondence
 between the Office and the applicant or patentee for such application,
 patent, or other proceeding.
 

 
 

 (b) With regard to a pending application, failure to comply with
 one of paragraphs (a)(1), (a)(2), or (a)(3) of this section within the time
 period set in the notice will result in abandonment of the application.
 

 
 

 37 CFR
 1.251 sets forth a procedure for the reconstruction of the file of
 a patent application, patent, or any other patent-related proceeding that cannot be
 located after a reasonable search. The phrase “an application” in 37 CFR 1.251 
 applies to any type of application (national or international), and regardless of the
 status (pending or abandoned) of the application.
 

 37 CFR
 1.251(a) provides that in the event the Office cannot locate the
 file of an application, patent, or any other patent-related proceeding after a
 reasonable search, the Office will notify the applicant or patentee and set a time
 period within which the applicant or patentee must comply with the notice. The applicant
 or patentee may comply with a notice under 37 CFR 1.251 by providing: (1) a
 copy of his or her record (if any) of all of the correspondence between the Office and
 the applicant or patentee for such application, patent, or other proceeding (except for
 U.S. patent documents); (2) a list of such correspondence; and (3) a statement that the
 copy is a complete and accurate copy of the applicant’s or patentee’s record of all of
 the correspondence between the Office and the applicant or patentee for such
 application, patent, or other proceeding (except for U.S. patent documents), and whether
 applicant or patentee is aware of any correspondence between the Office and the
 applicant or patentee for such application, patent, or other proceeding that is not
 among applicant’s or patentee’s records ( 37 CFR 1.251(a)(1) ). The applicant
 or patentee may also comply with a notice under 37 CFR 1.251 by: (1) producing his
 or her record (if any) of all of the correspondence between the Office and the applicant
 or patentee for such application, patent, or other proceeding for the Office to copy
 (except for U.S. patent documents); and (2) providing a statement that the papers
 produced by applicant or patentee are applicant’s or patentee’s complete record of all
 of the correspondence between the Office and the applicant or patentee for such
 application, patent, or other proceeding (except for U.S. patent documents), and whether
 applicant or patentee is aware of any correspondence between the Office and the
 applicant or patentee for such application, patent, or other proceeding that is not
 among applicant’s or patentee’s records ( 37 CFR 1.251(a)(2) ). If applicant or
 patentee does not possess any record of the correspondence between the Office and the
 applicant or patentee for such application, patent, or other proceeding, the applicant
 or patentee must comply with a notice under 37 CFR 1.251 by providing a
 statement that applicant or patentee does not possess any record of the correspondence
 between the Office and the applicant or patentee for such application, patent, or other
 proceeding ( 37 CFR
 1.251(a)(3) ). 
 

 According to 37 CFR 1.251(a) , if the applicant or
 patentee possesses all or just some of the correspondence between the Office and the
 applicant or patentee for such application, patent, or other proceeding, the applicant
 or patentee is to reply by providing a copy of (or producing) his or her record of all
 of the correspondence between the Office and the applicant or patentee for such
 application, patent, or other proceeding ( 37 CFR 1.251(a)(1) or (a)(2) ). If
 applicant or patentee does not possess any record of the correspondence between the
 Office and the applicant or patentee for such application, patent, or other proceeding,
 the applicant or patentee is to reply with a statement to that effect ( 37 CFR
 1.251(a)(3) ).
 

 If an applicant or patentee decides to produce his or her record of the
 correspondence between the Office and the applicant or patentee for the application,
 patent, or other proceeding for copying by the Office under 37 CFR 1.251(a)(2) 
 (rather than provide a copy under 37 CFR 1.251(a)(1) ), the record
 should be brought to the Customer Service Center in the Office of Patent Application
 Processing (OPAP).
 

 The Office will set a time period of three months for reply in a notice
 under 37 CFR
 1.251 in an application. The time period will be extendable under
 37 CFR
 1.136(a) (unless the notice indicates otherwise) by three months
 up to a maximum period for reply of six months in an application. See 35 U.S.C. 133 .
 If, however, an applicant fails to reply to a notice under 37 CFR 1.251 
 within three months of its mailing date, any patent term adjustment under
 35 U.S.C.
 154(b) will be reduced by a period equal to the number of days (if
 any) beginning on the day after the date that is three months after the mailing date of
 the notice under 37
 CFR 1.251 and ending on the date the reply to the notice under
 37 CFR
 1.251 was filed. See 35 U.S.C. 154(b)(2)(C)(ii) and
 37 CFR
 1.704(b) . The Office will set a time period of six months for
 reply in a notice under 37 CFR 1.251 in a patent. The time
 period will not be extendable under 37 CFR 1.136(a) in a patent because
 35 U.S.C.
 41(a)(8) only authorizes the Office to charge fees for extensions
 of time in proceedings involving an application.
 

 37 CFR
 1.251 generally applies only to situations in which the file of an
 application or patent (not just certain documents) is unlocatable. When a document is
 missing from an application, Office practice is to call the applicant’s representative
 and request submission (generally by facsimile) of a copy of the missing document. While
 the Office will generally treat missing documents in this relatively informal manner
 (rather than issuing a notice under 37 CFR 1.251 ), the Office may issue
 a notice under 37 CFR
 1.251 to obtain a copy of a missing document if the Office’s
 informal attempts to obtain a copy of the document are unsuccessful. The notice under
 37 CFR
 1.251 will include a printout of the contents entries from the
 Office’s electronic record system.
 

 Any appendix or information disclosure statement submitted with an
 application is not contained in the Office’s database. Therefore, the applicant or
 patentee must also provide a copy of any appendix or information disclosure statement
 (except in the limited circumstance discussed below) submitted with the application.
 Since the Office can obtain copies of U.S. patent documents (U.S. patent application
 publications and patents) from its internal databases, the Office is not requiring
 applicants or patentees to provide copies of U.S. patent application publications and
 patents that are among the applicant’s or patentee’s record of the correspondence
 between the Office and the applicant or patentee for the application, patent, or other
 proceeding.
 

 37 CFR
 1.251(b) provides that with regard to a pending application, the
 failure to provide a reply to such a notice within the time period set
 in the notice will result in abandonment of the application. While
 abandonment (or expiration) of a patent is not an issue if a patentee fails to timely
 comply with a notice under 37 CFR 1.251 , in such a situation
 the only certified copy of the patent file that the Office will be able to produce will
 be a copy of the patent and a copy of the application-as-filed (which may have an
 adverse impact during attempts to enforce the patent). In addition, if the patent is
 involved in a proceeding before the Office, the Office may take action under
 37 CFR
 41.128 or 37 CFR 11.18 .
 

 

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 501-Filing Papers With the U.S. Patent and Trademark Office 

 502-Depositing Correspondence 
 502.01-Correspondence Transmitted by Facsimile 

 502.02-Correspondence Signature Requirements 

 502.03-Communications via Internet Electronic Mail (email) 

 502.04-Duplicate Copies of Correspondence 

 502.05-Correspondence Transmitted by EFS-Web 

 
 

 503-Application Number and Filing Receipt 

 504-Assignment of Application for Examination 

 505-Date of Receipt Stamp 

 506-Completeness of Original Application 
 506.01-[Reserved] 

 506.02-Review of Refusal To Accord Filing Date 

 
 

 507-Drawing Review in the Office of Patent Application Processing 

 508-Distribution 
 508.01-[Reserved] 

 508.02-Papers Received After Patenting or Abandonment 

 508.03-[Reserved] 

 508.04-Unlocatable Patent or Application Files 

 
 

 509-Payment of Fees 
 509.01-Deposit Accounts 

 509.02-Small Entity Status — Definitions 

 509.03-Claiming Small Entity Status 
 509.03(a)-Duty to Investigate Entitlement to Claim Small Entity Status 

 509.03(b)-Change or Correction of Status 

 
 

 509.04-Micro Entity Status — Definitions 
 509.04(a)-Gross Income Basis for Micro Entity Status 

 509.04(b) -Institution of Higher Education Basis for Micro Entity Status 

 509.04(c) -Parties Who Can Sign the Micro Entity Certification 

 509.04(d) -Continued Obligation to Determine Micro Entity Qualification 

 509.04(e) -Notification of Loss of Entitlement to Micro Entity Status 

 509.04(f) -Correcting Errors in Micro Entity Status 

 
 

 
 

 510-U.S. Patent and Trademark Office Business Hours 

 511-Postal Service Interruptions and Emergencies 

 512-Certificate of Mailing or Transmission 

 513-Deposit as Priority Mail Express® with U.S. Postal Service 

 

 

 
 

 
 
 

 
 

 

 
 
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 Last Modified: 
 
 03/09/2026 20:49:43