Patents and tax
Patent filing receipts explained: USPTO, EPO and PCT
Short answer
- USPTO filing receipt
- Application number, filing date, confirmation number and other data 1
- USPTO electronic receipt
- Electronic Acknowledgement Receipt with time and date stamp 1
- EPO paper receipt
- Issued without delay with application number and date of receipt 2
- EPO minimum filing requirements
- Indication that a European patent is sought, applicant details, and a description or a reference to an earlier application 3
- PCT
- Receiving Office accords the date of receipt as the international filing date if Article 11(1) is met 4
United States: two kinds of receipt
The USPTO issues two different documents. For filings made through its patent electronic filing system, the Electronic Acknowledgement Receipt contains a time and date stamp, an application number, a confirmation number and a full listing of the correspondence submitted 1. The USPTO calls it the electronic equivalent of a postcard receipt 1.
The filing receipt is a later and separate document. The USPTO says it represents the official assignment of a specific application number and confirmation number to a particular application 1. It includes the application number, filing date and confirmation number, and where available a likely art unit 1. It can list continuing data, national stage data, foreign priority data, foreign filing license data, entity status and the expected publication date 1.
What the USPTO filing receipt does not prove
The USPTO says identifying an application by its number does not necessarily signify that it has accepted the application as complete 1. Each application that meets the minimum requirements to receive a filing date is given one 1.
Where a postcard receipt and the filing receipt differ, the application number on the filing receipt controls 1. A postcard number is only a preliminary assignment 1.
The USPTO encourages applicants to check filing receipts for accuracy, with attention to inventor and applicant names, benefit and priority claims, and whether a nonpublication request was recognized 1. It advises identifying an application by filing date and confirmation number as well as application number 1.
European Patent Office
The EPO Guidelines for Examination say that for paper filings the receipt must be issued without delay and include the application number and the date of receipt 2. The acknowledgement is usually the last page of EPO Form 1001 2.
For filings made through EPO Online Filing, Online Filing 2.0 or the web-form service, receipt is acknowledged electronically after submission 2. Under the Contingency Upload Service, receipt is confirmed in the service and an acknowledgement with the application number is sent separately 2.
A receipt is not the same as a date of filing. Under Rule 40(1) EPC, the filed documents must contain an indication that a European patent is sought, information identifying or allowing contact with the applicant, and a description or a reference to a previously filed application 3.
International applications under the PCT
Under Rule 20 of the PCT Regulations, the receiving Office must promptly decide whether the papers meet Article 11(1) 4. If they do, it accords the date of receipt as the international filing date and stamps the request 4. It then notifies the applicant of the international application number and the international filing date 4.
If the papers are not corrected in time, or still fail Article 11(1), the Office must promptly notify the applicant that the application is not and will not be treated as an international application, with reasons 4.
Quick comparison
| Office | Receipt | Confirms | Does not confirm |
|---|---|---|---|
| USPTO | Electronic Acknowledgement Receipt 1 | Time and date of receipt and items sent 1 | That the application is complete 1 |
| USPTO | Filing receipt 1 | Official application number, filing date and confirmation number 1 | That every detail is correct, so applicants are asked to check it 1 |
| EPO | Acknowledgement of receipt 2 | Application number and date of receipt 2 | That the date of filing requirements in Rule 40 are met 3 |
| PCT receiving Office | Notification of number and filing date 4 | International filing date after the Article 11(1) check 4 | Any later stage of the application 4 |
Common questions
Is the USPTO Electronic Acknowledgement Receipt the same as the filing receipt?
No. The acknowledgement is the electronic equivalent of a postcard receipt. The filing receipt is the official assignment of the application number and confirmation number 1.
What should I check on a USPTO filing receipt?
The USPTO points to inventor and applicant names, benefit and priority claims, and whether a nonpublication request was recognized 1.
Does the EPO receipt give me a filing date?
It gives the date of receipt 2. A date of filing depends on meeting the Rule 40(1) requirements 3.
When does a PCT application get its international filing date?
When the receiving Office finds the papers meet Article 11(1), it accords the date of receipt as the international filing date 4.
Rules and charges change. Check the official source linked on this page before you pay or travel. Spotted an error? Email hello@filingreceipts.com.
Sources
Related
- What a filing receipt proves, and what it does not
A filing receipt shows a system took in a document at a stated time. It rarely shows the filing was accepted, checked or true. Examples from six systems.
- Received, accepted and registered explained
Received means a system has the document. Accepted means it passed checks. Registered or filed means it is on the record. How six systems use each word.
- Tax e-file acknowledgements explained
What an IRS accepted or rejected acknowledgement, a CRA confirmation code and an Indian ITR e-verification each confirm, and what they leave open.