United States Patent and Trademark Office OG Notices: 28 October 2003
Centralized Delivery and
Facsimile Transmission Requirements for
Patent Application Related Correspondence
Summary
To facilitate processing of correspondence into the Image File
Wrapper (IFW) system, the United States Patent and Trademark Office
(USPTO or Office) is revising its procedures to require that a single,
centralized location be used for hand-carried and facsimile-transmitted
patent application related incoming correspondence delivered to
organizations reporting to the Commissioner of Patents
(e.g., Technology Centers, the Office of Patent Publication,
and the Office of Petitions). Most other offices as listed below will
continue receiving hand-carried and facsimile-transmitted
correspondence at the same locations and at the same facsimile numbers.
The centralized location for hand-carried correspondence is the
existing Customer Window. The centralized facsimile number is
(703) 872-9306. The changes are effective December 1, 2003.
Background
The Office is in the process of implementing an electronic image
capture system to replace the standard paper processing of patent
applications. Documents formerly placed in the paper file wrapper of
pending patent applications (including the specification, oath or
declaration, drawings, references, amendments, Office actions, foreign
patent documents and non-patent literature of information disclosure
statements and file jacket notations) are being electronically scanned
and loaded into the Image File Wrapper (IFW) system. Once documents are
loaded into the IFW system, examiners, technical support staff, other
USPTO staff, and contractors will perform further processing and
examination using the IFW system. See Notification of United
States Patent and Trademark Office Patent Application Records being
Stored and Processed in Electronic Form, 1271 Off. Gaz. Pat. Office 100
(June 17, 2003).
PART 1. Central Delivery of Hand-Carried Patent Application
Related Papers
A. CUSTOMER WINDOW
To effect a smooth transition into the IFW environment, the
Office is requiring the use of the Customer Window for all hand-carried
patent application related correspondence. This location will be
equipped to perform the necessary sorting and routing of submissions
for either electronic or paper processing.
The Customer Window is located at:
U.S. Patent and Trademark Office
2011 South Clark Place
Customer Window
Crystal Plaza Two, Lobby, Room 1B03
Arlington, VA 22202
Effective December 1, 2003, all official patent
application related correspondence for organizations reporting to the
Commissioner of Patents (e.g. Technology Centers, the Office of Patent
Publication, and the Office of Petitions) that is hand-carried (or
delivered by other delivery services, e.g., FedEx, UPS,
etc.) must be delivered to the Customer Window, with a few exceptions
as listed below in Part C. Hand-carried application related
correspondence will no longer be accepted in the Technology Centers
(TCs), the Office of Patent Publication, and the Office of Petitions.
Any courier who attempts delivery of an official application related
correspondence at a TC (or where it is no longer permitted) will be
re-directed to the Customer Window. Some time after the initial move to
Carlyle, Alexandria, an additional depository in the Carlyle facility
for hand-carried correspondence will be established. Patent application
related compact disks (CDs) and other non-paper submissions that are
hand-carried must be delivered to the Customer Window.
Correspondence may continue to be mailed via the United States
Postal Service (USPS) and special Mail Stops (where appropriate) should
continue to be used. See Special Mail Stops for Patent and
Trademark Mail, 1271 Off. Gaz. Pat. Office 67 (June 10, 2003).
The mailing address of the USPTO is not affected by this change
in practice with regard to hand- carried or facsimile correspondence.
B. Papers Requiring Immediate Office Attention (Hand-carried and
Facsimile Transmissions)
Due to special Office procedures concerning the three below
listed types of submissions, applicants are advised and encouraged to
conspicuously mark "SPECIAL PROCEDURES SUBMISSION" on the top of
the first page of these, and only these, documents whether
they are hand-carried or sent by facsimile transmission, to the Office.
Special alerting procedures will be followed for these documents after
submission at the Customer Window or receipt by the central facsimile
processing facility.
1. Petitions for express abandonment to avoid publication under
37 CFR 1.138(c).
2. Petitions to withdraw an application from issue under 37 CFR
1.313(c)(3).
3. Request for Expedited Examination of a design application
(Rocket Docket).
C. Correspondence for Which Centralized Delivery of Hand-carried Papers
is Not Required
Non-patent application related papers and a few exceptions to the
general rule for patent application related correspondence may be
delivered to specific non-central locations as set forth below. Thus,
the following types of correspondence should be delivered to the
specific location where they are processed instead of the Customer
Window. Any such correspondence carried by error to the Customer Window
will be accepted but then re-routed to the appropriate office, thereby
incurring a delay before being processed.
1. All non-application and non-specific application
related correspondence, such as questions on policy, on
employment, or other general inquiries, may continue to be hand-carried
or transmitted by facsimile to the current designated locations,
depending on the substance of the correspondence.
2. Hand-carried requests to initiate, or related to ongoing ex
parte or inter partes reexamination proceedings
may be hand-carried to the Central Reexamination Unit (CRU) in
Crystal Plaza Room 3D68.
3. Requests for access to patent application files may
continue to be hand-carried to the File Information Unit (FIU) in
Crystal Plaza 3 Room 1D01.
4. Patent term extension applications under 35 U.S.C. 156
(Hatch/Waxman) may be hand-carried to the Office of Patent Legal
Administration (OPLA) in Crystal Plaza 3/4 Room 3D65.
5. Assignments may be hand-carried to the Assignment Branch
in Crystal Gateway 4, Room 301.
6. Correspondence for the Office of Enrollment and Discipline
(OED) may be hand-carried directly to OED in Crystal Plaza 6, Room
1103.
7. Correspondence for the Office of General Counsel or the
Solicitor's Office may be hand-carried directly to the
Office of General Counsel in Crystal Park 2, Room 905.
8. Correspondence relating to interferences may be
hand-carried to the Board of Patent Appeals and Interferences in
Crystal Gateway 2, Room 10C01.
9. Correspondence relating to PCT international applications
prior to national stage entry (35 U.S.C. 371) may continue to
be hand-carried to the PCT Operations customer window located at
Crystal Plaza Two, 8th floor. After national stage entry (indicated by
the mailing of the Notice of Acceptance (Form 903)), correspondence
relating to the national stage of the international application should
be hand-carried to the Customer Window.
Part 2. Centralized Facsimile Number for Official Patent
Application Related Correspondence
A. Central Number
Effective December 1, 2003, all patent application
related correspondence transmitted by facsimile must be directed to the
central facsimile number, (703) 872-9306, with a few
exceptions below in Part B. Replies to Office actions including
after-final amendments that are transmitted by facsimile must be
directed to the central facsimile number. Unofficial correspondence
such as draft proposed amendments for interviews may continue to be
transmitted by facsimile to the Technology Centers (TCs). See Fax
Automation in Technology Center 1700, 1237 Off. Gaz. Pat. Office
140 (August 29, 2000). Any official correspondence transmitted by
facsimile in error to prior published facsimile numbers will be either
automatically re-routed to the central facsimile number, or manually
forwarded to the central facsimile facility for processing but may
thereby incur a delay before being processed. The central facsimile
number is capable of simultaneous receipt of facsimile transmissions
from multiple customers. All other Office facsimile numbers remain
unchanged. Prior published facsimile numbers will continue in operation
until further notice. Applicants are advised that since correspondence
successfully sent by facsimile transmission to the old numbers (as
evidenced by a "successful facsimile receipt" or "transmission
complete" message) will always be routed or forwarded to the central
facsimile facility; no further action on the applicants' part is
required. Do not send a duplicate facsimile to the central number.
See Patent Customers Advised to FAX Communications to
USPTO, 1270 Off. Gaz. Pat. Office 151 (May 27, 2003) for a
discussion of the correspondence that can and cannot be sent by
facsimile transmission to the Office. Questions related to receipt of a
facsimile to the Technology Centers should be directed to the
Technology Center Customer Service representative listed in the
above-mentioned notice.
B. Correspondence Which May be Sent By Facsimile to Other Than the
Central Facsimile Number
The correspondence items below may be sent by facsimile to
specific facsimile numbers as indicated as these items are for
non-patent application related papers and a few exceptions to the
general rule (for facsimile transmission to a central number).
1. Facsimile transmissions to the Office of
Initial Patent Examination
New applications, correspondence being submitted for the purpose
of obtaining an application filing date, and (except with issue fee
payment) drawings may NOT be transmitted by facsimile. Other types of
responses to notices from the Office of Initial Patent Examination
(OIPE) and requests for corrected filing receipts may be transmitted by
facsimile directly to the OIPE. The following is a list of official
facsimile numbers for OIPE:
Facsimile number for corrected
Filing Receipt Requests: (703) 746-9195
Facsimile number for Response
to Notice to File Missing Parts
(drawings may not be submitted
by facsimile): (703) 746-4060
Telephone number for Customer
Service: (703) 308-1202
2. Facsimile transmissions to PCT Operations and
PCT Legal Administration
An international application for patent or a copy of the
international application and the basic national fee necessary to entry
the national stage, as specified in 37 CFR 1.495(b), may NOT be
submitted by facsimile. Correspondence in an application before the
U.S. Receiving Office, the U.S. International Searching Authority, or
the U.S. International Examining Authority may be facsimile-transmitted
but the correspondence will NOT receive the benefit of any certificate
of transmission (or mailing). See 37 CFR 1.6(d)(3) (referencing 37 CFR
1.8(a)(2)(i)(D)-(F)). Papers relating to international applications
should be directed to one of the following numbers, if applicable:
Facsimile number for papers
in international applications: (703) 305-3230
Facsimile number for Response
to Decisions on Petition (703) 308-6459
Facsimile number for the
PCT Help Desk: (703) 305-2919
Telephone number for the
PCT Help Desk: (703) 305-3257
3. Facsimile transmissions to the
Office of Patent Publication
Payment of an issue fee and any required publication fee by
authorization to charge a deposit account or credit card may be
submitted by facsimile transmission. When drawings are submitted with
payment of an issue fee, they may be submitted by facsimile, although
applicants are reminded that the facsimile process may reduce the
quality of the drawings, and the Office will generally print the
drawings as received.
The applicable facsimile numbers for payment of the issue and/or
publication fee(s) by facsimile transmission are as follows:
Facsimile number for Issue Fee
(and any Publication Fee)
Payments: (703) 746-4000
Telephone number to check on
receipt of payment (with
Office of Patent Publication): (703) 305-8283
4. Facsimile transmissions to the
Office of Pre-Grant Publication
Petitions for express abandonment to avoid publication under 37
CFR 1.138(c), requests to rescind a nonpublication request and notices
of foreign filing should be directed to the Pre-Grant Publication
Division. Questions regarding publication of patent applications (or
rescissions of nonpublication requests) may also be directed by e-mail
to pgpub@uspto.gov.
Facsimile number for
PG-PUB correspondence: (703) 305-8568
Telephone number for the
Pre-Grant Publication Division: (703) 605-4283
5. Facsimile transmissions to the
Electronic Business Center
Requests for Customer Number Data Change (PTO/SB/124) and
Requests for a Customer Number (PTO/SB/125) may be
facsimile-transmitted to the Electronic Business Center (EBC). The
EBC may also be reached by e-mail at: ebc@uspto.gov
Facsimile number for the
Electronic Business Center: (703) 308-2840
Telephone number for
assistance from the EBC: (866) 217-9197
6. Facsimile transmissions of Assignment Documents
Facsimile transmission to record an assignment or other documents
affecting title is also permitted. This process allows customers to
submit their documents directly into the automated Patent and Trademark
Assignment System and receive the resulting recordation notice at their
facsimile machine. Credit card payments to record assignment documents
are now accepted, and use of the Credit Card form (PTO-2038) is
required for the credit card information to be separated from the
assignment records. Only documents with an identified patent
application or patent number, a single cover sheet to record a single
type of transaction, and the fee paid by an authorization to charge a
USPTO deposit account or credit card may be submitted via facsimile.
Please refer to the USPTO Web Site, at
http://www.uspto.gov/web/offices/ac/ido/opr/ptasfax.pdf for
more information regarding the submission of assignment documents via
facsimile.
Facsimile number for the
Automated Patent and Trademark
Assignment system: (703) 306-5995
Telephone number for the
Assignment Division for
assistance: (703) 308-9723
7. Facsimile transmissions of Papers for
Reexamination Proceedings
Correspondence related to reexamination proceedings will be
separately scanned in the Central Reexamination Unit (CRU). Inter
partes reexamination correspondence, except for the initial
request, may be sent by facsimile transmission directly to the CRU
facsimile number below. All ex parte reexamination
correspondence, except for the initial request, may be sent by
facsimile transmission to the central facsimile number, (703)
872-9306. For questions concerning Reexaminations, contact the CRU
at the number below:
Facsimile number for all
inter partes correspondence
except initial requests: (703) 305-1013
All ex parte reexamination
correspondence: except
initial requests (703) 872-9306
Telephone number for customer
service and inquiries: (703) 306-2892
8. Facsimile transmissions of Papers to the
Board of Patent Appeals and Interferences
Correspondence permitted to be transmitted by facsimile related
to pending interferences may be transmitted by facsimile to the Board
of Patent Appeals and Interferences at the number below. Correspondence
should not be transmitted to this number if an interference has not yet
been declared.
Facsimile number for pending
interference correspondence (703) 305-0942
9. Facsimile transmissions of Papers to the
Office of the General Counsel
Correspondence permitted to be transmitted by facsimile to the
Office of the General Counsel may sent to the number below:
Facsimile number for the
Office of the General Counsel (703) 305-5907
10. Facsimile transmissions to the Office of the Solicitor
Correspondence that is permitted to be transmitted by facsimile
may sent directly to the Office of the Solicitor at the number
below:
Facsimile number for the
Office of the Solicitor (703) 305-9373
FOR FURTHER INFORMATION CONTACT:
Inquiries concerning receipt and status of specific
correspondence should continue to be directed to the appropriate office
that considers the correspondence on the merits. Please allow
sufficient time for the correspondence to be scanned into the IFW
system or to be forwarded to the appropriate location before contacting
the Office. Applicants may electronically verify the receipt and status
of the correspondence using the private side of the Patent Application
Information Retrieval (PAIR) system and are strongly encouraged to make
use of this PAIR capability.
* Questions related to the operation of the facsimile
system should be directed to the Electronic Business Center at
(866) 217-9197.
* Inquiries concerning only hours and location of the Customer Window
may be directed to OIPE Customer Service at (703) 308-1202.
Technical information on the operation of the IFW system can be
found on the USPTO website at
http://www.uspto.gov/web/patents/ifw/index.html.
October 1, 2003 STEPHEN G. KUNIN
Deputy Commissioner for
Patent Examination Policy