Information as to Status of an Application

37 CFR 1.14  Patent applications preserved in confidence.

(a)

Confidentiality of patent application information.

Patent

applications that have not been published under

35 U.S.C.

122(b)

are generally preserved in confidence pursuant to

35 U.S.C.

122(a)

. Information concerning the filing, pendency, or

subject matter of an application for patent, including status information, and

access to the application, will only be given to the public as set forth in §

1.11

or in this section.

(1) Records associated with patent applications (see paragraph (g)

of this section for international applications and paragraph (j) of this

section for international design applications) may be available in the

following situations:

(i)

Patented applications and statutory invention

registrations.

The file of an application that has issued

as a patent or published as a statutory invention registration is

available to the public as set forth in §

1.11(a)

. A copy of the patent

application-as-filed, the file contents of the application, or a

specific document in the file of such an application may be provided

upon request and payment of the appropriate fee set forth in §

1.19(b)

.

(ii)

Published abandoned applications.

The file of an

abandoned published application is available to the public as set

forth in §

1.11(a)

. A copy

of the application-as-filed, the file contents of the published

application, or a specific document in the file of the published

application may be provided to any person upon request and payment of

the appropriate fee set forth in §

1.19(b)

.

.19(b)

.

(ii)

Published abandoned applications.

The file of an

abandoned published application is available to the public as set

forth in §

1.11(a)

. A copy

of the application-as-filed, the file contents of the published

application, or a specific document in the file of the published

application may be provided to any person upon request and payment of

the appropriate fee set forth in §

1.19(b)

.

(iii)

Published pending applications.

A copy of the

application-as-filed, the file contents of the application, or a

specific document in the file of a pending published application may

be provided to any person upon request and payment of the appropriate

fee set forth in §

1.19(b)

. If a

redacted copy of the application was used for the patent application

publication, the copy of the specification, drawings, and papers may

be limited to a redacted copy. The Office will not provide access to

the paper file of a pending application that has been published,

except as provided in paragraph (c) or (i) of this section.

(iv)

Unpublished abandoned applications (including provisional

applications) that are identified or relied upon.

The

file contents of an unpublished, abandoned application may be made

available to the public if the application is identified in a U.S.

patent, a statutory invention registration, a U.S. patent application

publication, an international publication of an international

application under

PCT Article 21(2)

, or a publication of an international registration under Hague

Agreement Article 10(3) of an international design application

designating the United States. An application is considered to have

been identified in a document, such as a patent, when the application

number or serial number and filing date, first named inventor, title,

and filing date or other application specific information are provided

in the text of the patent, but not when the same identification is

made in a paper in the file contents of the patent and is not included

in the printed patent

ication is considered to have

been identified in a document, such as a patent, when the application

number or serial number and filing date, first named inventor, title,

and filing date or other application specific information are provided

in the text of the patent, but not when the same identification is

made in a paper in the file contents of the patent and is not included

in the printed patent. Also, the file contents may be made available

to the public, upon a written request, if benefit of the abandoned

application is claimed under

35 U.S.C. 119(e)

,

120

,

121

,

365(c)

, or

386(c)

in an application that has issued as a

U.S. patent, or has published as a statutory invention registration, a

U.S. patent application publication, an international publication of

an international application under

PCT Article 21(2)

,

or a publication of an international registration under Hague

Agreement Article 10(3). A copy of the application-as-filed, the file

contents of the application, or a specific document in the file of the

application may be provided to any person upon written request and

payment of the appropriate fee (§

1.19(b)

).

(v)

Unpublished pending applications (including provisional

applications) whose benefit is claimed.

A copy of the

file contents of an unpublished pending application may be provided to

any person, upon written request and payment of the appropriate fee (§

1.19(b)

), if the benefit of the application is

claimed under

35 U.S.C. 119(e)

,

120

,

121

,

365(c)

, or

386(c)

in an application that has issued as a

U.S. patent, or in an application that has published as a statutory

invention registration, a U.S. patent application publication, an

international publication of an international application under

PCT Article 21(2)

, or a publication of an

international registration under Hague Agreement Article 10(3)

d under

35 U.S.C. 119(e)

,

120

,

121

,

365(c)

, or

386(c)

in an application that has issued as a

U.S. patent, or in an application that has published as a statutory

invention registration, a U.S. patent application publication, an

international publication of an international application under

PCT Article 21(2)

, or a publication of an

international registration under Hague Agreement Article 10(3). A copy

of the application-as-filed or a specific document in the file of the

pending application may also be provided to any person upon written

request and payment of the appropriate fee (§

1.19(b)

). The Office will not provide access to

the paper file of a pending application, except as provided in

paragraph (c) or (i) of this section.

(vi)

Unpublished pending applications (including provisional

applications) that are incorporated by reference or otherwise

identified.

A copy of the application as originally filed

of an unpublished pending application may be provided to any person,

upon written request and payment of the appropriate fee (§

1.19(b)

), if the application is incorporated by

reference or otherwise identified in a U.S. patent, a statutory

invention registration, a U.S. patent application publication, an

international publication of an international application under

PCT Article 21(2)

, or a publication of an

international registration under Hague Agreement Article 10(3) of an

international design application designating the United States. The

Office will not provide access to the paper file of a pending

application, except as provided in paragraph (c) or (i) of this

section.

ation publication, an

international publication of an international application under

PCT Article 21(2)

, or a publication of an

international registration under Hague Agreement Article 10(3) of an

international design application designating the United States. The

Office will not provide access to the paper file of a pending

application, except as provided in paragraph (c) or (i) of this

section.

(vii)

When a petition for access or a power to inspect is

required.

Applications that were not published or

patented, that are not the subject of a benefit claim under

35 U.S.C. 119(e)

,

120

,

121

,

365(c)

, or

386(c)

in an application that has issued as a

U.S. patent, an application that has published as a statutory

invention registration, a U.S. patent application publication, an

international publication of an international application under

PCT Article 21(2)

, or a publication of an

international registration under Hague Agreement Article 10(3), or are

not identified in a U.S. patent, a statutory invention registration, a

U.S. patent application publication, an international publication of

an international application under

PCT Article 21(2)

, or a publication of an international registration under Hague

Agreement Article 10(3) of an international design application

designating the United States, are not available to the public. If an

application is identified in the file contents of another application,

but not the published patent application or patent itself, a granted

petition for access (see paragraph (i)) or a power to inspect (see

paragraph (c) of this section) is necessary to obtain the application,

or a copy of the application.

(2) Information concerning a patent application may be

communicated to the public if the patent application is identified in a

published patent document or in an application as set forth in paragraphs

(a)(1)(i) through (a)(1)(vi) of this section. The information that may be

communicated to the public (

i.e.,

status information)

includes:

ary to obtain the application,

or a copy of the application.

(2) Information concerning a patent application may be

communicated to the public if the patent application is identified in a

published patent document or in an application as set forth in paragraphs

(a)(1)(i) through (a)(1)(vi) of this section. The information that may be

communicated to the public (

i.e.,

status information)

includes:

(i) Whether the application is pending, abandoned, or

patented;

(ii) Whether the application has been published under

35 U.S.C. 122(b)

;

(iii) The application “numerical identifier” which may be:

(A) The eight-digit application number (the two-digit

series code plus the six-digit serial number); or

(B) The six-digit serial number plus any one of the

filing date of the national application, the international

filing date, or date of entry into the national stage; and

(iv) Whether another application claims the benefit of the

application (

i.e.,

whether there are any

applications that claim the benefit of the filing date under

35 U.S.C. 119(e)

,

120

,

121

,

365

, or

386

of the application), and if there are any

such applications, the numerical identifier of the application, the

specified relationship between the applications

(

e.g.,

continuation), whether the application is

pending, abandoned or patented, and whether the application has been

published under

35 U.S.C.

122(b)

.

*****

Status information of an application means only the following information:

(A) whether the application is pending, abandoned, or patented;

(B) whether the application has been published;

(C) the application number or the serial number plus any one of the filing

date of the national application, the international filing date or the date of entry

into the national stage; and

(D) whether another application claims the benefit of the application

(i.e., whether there are any applications that claim the benefit of the filing date

under

35 U.S.C

hether the application has been published;

(C) the application number or the serial number plus any one of the filing

date of the national application, the international filing date or the date of entry

into the national stage; and

(D) whether another application claims the benefit of the application

(i.e., whether there are any applications that claim the benefit of the filing date

under

35 U.S.C.

119(e)

,

120

,

121

,

365

, or

386

of the application), and if

there are any such applications, status information therefor as set forth in

37 CFR

1.14(a)(2)(iv)

.

A requester seeking status information regarding an application should check

Patent Center or Private Patent Application Information Retrieval (PAIR) on the USPTO

website at

www.uspto.gov

. Alternatively, an authorized requester may contact the

Application Assistance Unit (AAU) for applications in pre-examination or post-examination

processing via email at HelpAAU@uspto.gov; phone at 571-272-4000 or toll free at

888-786-0101 (Hours: Weekdays, 8:30 a.m. to 5 p.m. ET); or at

www.uspto.gov/learning-and-resources/

support-centers/application-assistance-unit-aau

(see

MPEP §

1730

). If the application has not been published, but is pending

or abandoned then the AAU will determine whether the requester is:

(1) the applicant;

(2) a patent practitioner of record;

(3) the assignee or an assignee of an undivided part interest;

(4) the inventor or a joint inventor; or

(5) a registered attorney or agent named in the papers accompanying the

application papers filed under

37 CFR 1.53

or the national stage

documents filed under

37 CFR 1.495

, if a power of

attorney has not been appointed under

37 CFR 1.32

.

If the requester is any of (1) - (5) as set forth above, or if the

application contains written authority granting access to the requester signed by any of

; or

(5) a registered attorney or agent named in the papers accompanying the

application papers filed under

37 CFR 1.53

or the national stage

documents filed under

37 CFR 1.495

, if a power of

attorney has not been appointed under

37 CFR 1.32

.

If the requester is any of (1) - (5) as set forth above, or if the

application contains written authority granting access to the requester signed by any of

(1) - (5) as set forth above, then the requester is entitled to status information. See

37 CFR

1.14(c)

and

MPEP § 104

for additional information

pertaining to who can provide written authority granting access to such information. If the

requester is inquiring about whether a reply was received or when an Office action can be

expected, the requester should be directed to call the Technology Center (TC) to which the

application is assigned. The assignment of an application to a TC can be determined from

Patent Data Portal. If the requester is not any of (1) - (5) or a person with written

authority from any of (1) - (5) as set forth above, the requester may utilize Patent Center

to obtain status information.

Furthermore, if the requester is not any of (1) - (5) or a person with

written authority from any of (1) - (5) as set forth above, but the application is a

national stage application or any application claiming the benefit of the filing date of a

published international application and the United States of America has been indicated as

a Designated State in the international application, pursuant to

37 CFR

1.14(a)(2)(iv)

, the requester is entitled to status information for

the national stage application as well as any application claiming the benefit of the

filing date of the published international application. A copy of the first page of the

published international application or of the corresponding page of the PCT Gazette must be

supplied with the status request. The status request should be made in writing to the

International Patent Legal Administration (see

MPEP § 1730

)

stage application as well as any application claiming the benefit of the

filing date of the published international application. A copy of the first page of the

published international application or of the corresponding page of the PCT Gazette must be

supplied with the status request. The status request should be made in writing to the

International Patent Legal Administration (see

MPEP § 1730

). Alternatively, inquiries

relating to applications claiming the benefit of the filing date of a published

international application may be directed to the PCT Help desk. Only the serial number and

filing date, or application number, as well as whether the application is pending,

abandoned, or patented may be given for the national stage application and for any

applications claiming the benefit of the filing date of the referenced published

international application. Other information contained on the continuity data screen, such

as whether the application is a CIP, continuation or divisional application, the date of

abandonment of the application and issue date may be confidential information and should

not be communicated.

If the requester is not any of (1) - (5) or a person with

written authority from any of (1) - (5) as set forth above, but the application is an

international design application maintained by the Office in its capacity as a designated

office (

37 CFR

1.1003

) for national processing, pursuant to

37 CFR

1.14(a)(2)(iv)

, the requester is entitled to status information for

the international design application as well as any application claiming the benefit of the

filing date of the published international design application. With respect to an

international design application maintained by the Office in its capacity as an office of

indirect filing (

37 CFR 1.1002

), status information may

be made available where contained in the file of the international design application

maintained by the Office for national processing

ication claiming the benefit of the

filing date of the published international design application. With respect to an

international design application maintained by the Office in its capacity as an office of

indirect filing (

37 CFR 1.1002

), status information may

be made available where contained in the file of the international design application

maintained by the Office for national processing.

STATUS LOCATION INFORMATION FOR OFFICE PERSONNEL

When it is desired to determine the current location or status of an

application, Office personnel should use Patent Data Portal. If the application is an

Image File Wrapper (IFW) application, no location is associated with the file.

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