This chapter is tested at a fairly high frequency on the patent bar exam. You can expect to answer a question or two pertaining to small entity status and proper mailing procedures.

Here's what you need to know:

Certificate of Transmission:
1. a Certificate of Transmission must accompany a facsimile and is used as proof for establishing when the fax was received by the PTO
2. the PTO will date stamp the correspondence when they receive it (if the facsimile arrives on a Sat, Sun or Fed holiday, it will be stamped the next working day)
3. faxes cannot be used for anything that will obtain an application filing date (in addition to many other items)
4. an individual may state the date on which the paper will be transmitted by fax, in most cases this will be used as the date it arrived to the PTO

Certificate of Mailing:
1. the date is based on the date the correspondence is sent, never on the date it is received
2. it must be addressed correctly with enough postage for first class mail, in addition, it must include a signed (by assignee or registered practitioner) dated certificate of mailing with each piece of correspondence listed
3. only certain types of correspondence may be sent via a Certificate of mailing

"Express Mail"

Rules governing "Express Mail":
1. it may be used for any type of correspondence
2. it will be considered as filed on the date of the deposit, whatever day of the week that may be
3. the correspondence must state "Express Mail Post Office to Addressee"
4. the service must be provided by U.S. Postal Service (U.S.P.S.)
5. the "date in" must be entered by the U.S.P.S. and the mailing label must be completed by the U.S.P.S.

Hand Delivery:
1. hand delivery is only available during office hours;
2. you should receive a receipt back for the papers as proof of their delivery

Small Entity

Small entities receive a 50% reduction in certain fees:
The owner or officer of an application may sign a statement for this, the attorney may not

Those who may qualify for small entity status include:
1. independent inventors (with no assignment)
2. small businesses (with less than 500 employees)
3. nonprofit organizations

To request a refund based on a change in small entity status, a petition must be filed under 37 C.F.R. 1.28(a)(b) within 3 months of the accidental extra payment. If an assignment is made after the application is filed, the inventor will not have to retroactively pay a large entity filing fee, however, future payments are calculated under the new status