[Code of Federal Regulations]
[Title 37, Volume 1]
[Revised as of July 1, 2008]
From the U.S. Government Printing Office via GPO Access
[CITE: 37CFR1.8]

[Page 17-18]
 
              TITLE 37--PATENTS, TRADEMARKS, AND COPYRIGHTS
 
  CHAPTER I--UNITED STATES PATENT AND TRADEMARK OFFICE, DEPARTMENT OF 
                                COMMERCE
 
PART 1_RULES OF PRACTICE IN PATENT CASES--Table of Contents
 
                      Subpart A_General Provisions
 
Sec. 1.8  Certificate of mailing or transmission.

    (a) Except in the situations enumerated in paragraph (a)(2) of this 
section or as otherwise expressly excluded in this chapter, 
correspondence required to be filed in the U.S. Patent and Trademark 
Office within a set period of time will be considered as being timely 
filed if the procedure described in this section is followed. The actual 
date of receipt will be used for all other purposes.
    (1) Correspondence will be considered as being timely filed if:
    (i) The correspondence is mailed or transmitted prior to expiration 
of the set period of time by being:
    (A) Addressed as set out in Sec. 1.1(a) and deposited with the U.S. 
Postal Service with sufficient postage as first class mail;
    (B) Transmitted by facsimile to the Patent and Trademark Office in 
accordance with Sec. 1.6(d); or
    (C) Transmitted via the Office electronic filing system in 
accordance with Sec. 1.6(a)(4); and
    (ii) The correspondence includes a certificate for each piece of 
correspondence stating the date of deposit or transmission. The person 
signing the certificate should have reasonable basis to expect that the 
correspondence would be mailed or transmitted on or before the date 
indicated.
    (2) The procedure described in paragraph (a)(1) of this section does 
not apply to, and no benefit will be given to a Certificate of Mailing 
or Transmission on the following:
    (i) Relative to Patents and Patent Applications--
    (A) The filing of a national patent application specification and 
drawing or other correspondence for the purpose of obtaining an 
application filing date, including a request for a continued prosecution 
application under Sec. 1.53(d);
    (B) [Reserved]

[[Page 18]]

    (C) Papers filed in contested cases before the Board of Patent 
Appeals and Interferences, which are governed by Sec. 41.106(f) of this 
title;
    (D) The filing of an international application for patent;
    (E) The filing of correspondence in an international application 
before the U.S. Receiving Office, the U.S. International Searching 
Authority, or the U.S. International Preliminary Examining Authority;
    (F) The filing of a copy of the international application and the 
basic national fee necessary to enter the national stage, as specified 
in Sec. 1.495(b).
    (ii) [Reserved]
    (iii) Relative to Disciplinary Proceedings--
    (A) Correspondence filed in connection with a disciplinary 
proceeding under part 10 of this chapter.
    (B) [Reserved]
    (b) In the event that correspondence is considered timely filed by 
being mailed or transmitted in accordance with paragraph (a) of this 
section, but not received in the U.S. Patent and Trademark Office after 
a reasonable amount of time has elapsed from the time of mailing or 
transmitting of the correspondence, or after the application is held to 
be abandoned, or after the proceeding is dismissed or decided with 
prejudice, or the prosecution of a reexamination proceeding is 
terminated pursuant to Sec. 1.550(d) or Sec. 1.957(b) or limited 
pursuant to Sec. 1.957(c), or a requester paper is refused 
consideration pursuant to Sec. 1.957(a), the correspondence will be 
considered timely if the party who forwarded such correspondence:
    (1) Informs the Office of the previous mailing or transmission of 
the correspondence promptly after becoming aware that the Office has no 
evidence of receipt of the correspondence;
    (2) Supplies an additional copy of the previously mailed or 
transmitted correspondence and certificate; and
    (3) Includes a statement that attests on a personal knowledge basis 
or to the satisfaction of the Director to the previous timely mailing, 
transmission or submission. If the correspondence was sent by facsimile 
transmission, a copy of the sending unit's report confirming 
transmission may be used to support this statement. If the 
correspondence was transmitted via the Office electronic filing system, 
a copy of an acknowledgment receipt generated by the Office electronic 
filing system confirming submission may be used to support this 
statement.
    (c) The Office may require additional evidence to determine if the 
correspondence was timely filed.

[58 FR 54502, Oct. 22, 1993; 58 FR 64154, Dec. 6, 1993, as amended at 61 
FR 56447, Nov. 1, 1996; 62 FR 53181, Oct. 10, 1997; 67 FR 523, Jan. 4, 
2002; 68 FR 48288, Aug. 13, 2003; 69 FR 49997, Aug. 12, 2004; 69 FR 
56536, Sept. 21, 2004; 72 FR 2775, Jan. 23, 2007; 72 FR 18904, Apr. 16, 
2007]