As a part of our continuous efforts to modernize and streamline our patent application systems, applicants have the ability to file patent application-related documents in DOCX format through Patent Center. Patent Center registered and unregistered users may file the specification, claims, abstract and drawings in DOCX format.
What is DOCX?
DOCX is a word processing file format based on open standards, including Extensible Markup Language (XML). DOCX is supported by many popular word processing applications, such as Microsoft Word 2007 or higher, Google Docs, Office Online, LibreOffice and Pages for Mac. As an open standard format, DOCX offers a safe and stable basis for authoring and processing intellectual property documents. Currently, the USPTO is accepting DOCX for these submission types .
DOCX benefits
- Increased efficiencies: eliminates the need to convert structured text into a PDF for filing.
- Higher data quality: reduces conversion errors that can occur when converting to a PDF file.
- Smarter interface: detects common errors, such as formatting errors, and provides instant feedback to prevent unnecessary delays in processing your application.
- Application management: DOCX data allows future reuse of content and delivering new powerful features such as improved searching for patent applications and submissions.
- Privacy: provides automatic metadata detection (e.g. author and comments) and removal features to support the submission of only substantive information in the DOCX file.
- Improved application quality: provides content-based validations pre-submission, identifying issues up front and allowing for them to be addressed before examination begins.
- Ease of use: provides automated document indexing.
- Compatibility: eliminates the non-embedded font error, the most common obstacle in uploading a PDF, by uploading your file with supported fonts.
How does the DOCX engine work?
- Warnings and Errors: DOCX data is analyzed and feedback is generated for common mistakes and errors. While warnings (indicated by a triangle icon) will not prevent a user from filing an application, users are encouraged to review applications thoroughly before submission. Errors (indicated by an X icon) must be corrected before submission.
- Headings: DOCX data is further used to provide automatic doc code detection by analyzing headings of sections. DOCX templates are available in the DOCX Resources section with some common section headings.
Applicants can file test submissions through Patent Center training mode, located at the bottom of the Patent Center dashboard to practice filing in DOCX.
DOCX templates
These templates are not required but are instead guides for filing new submissions and responses.
- DOCX Template A: This is a template for new filings with a comprehensive specification section list. In Patent Center this template will autodect the Specification, Claims, Abstract and Drawings sections.
- DOCX Template B: This is a simplified template for new filings with the most common specification sections. In Patent Center this template will autodect the Specification, Claims, Abstract and Drawings sections.
- Response Template: Currently under development
Frequently asked questions (FAQs)
What documents and submission types can I file without incurring a non-DOCX surcharge?
If I want to file a preliminary amendment on the same day as my initial filing of a new utility application under 35 U.S.C. 111(a), does the preliminary amendment need to be in DOCX format to avoid the non-DOCX surcharge?
In accordance with 37 CFR 1.115(a), a preliminary amendment that is present on the filing date of an application is part of the original disclosure of the application. Thus, if a preliminary amendment is filed on the same day as the application, the amendment must be in DOCX format to avoid the surcharge. Users can now optionally upload preliminary amendment documents in DOCX format as part of the initial submission of a new utility application under 35 U.S.C. 111(a). A preliminary amendment filed after the filing date of the application will not incur the surcharge because it is not part of the original disclosure of the application and thus is not required to be in DOCX format.
How can I file a preliminary amendment on the same day as my initial filing of a new utility application under 35 U.S.C. 111(a) to avoid the non-DOCX surcharge?
If you want to submit a preliminary amendment that is considered part of the original disclosure of the application (37 CFR 1.115(a)) and avoid the non-DOCX surcharge, you should file the preliminary amendment in DOCX format on the same day using the “Is a Preliminary Amendment in DOCX format being filed” section under the Upload Documents section and selecting the radio button to “Yes” or you may file it as a follow-on submission in the application.
If I file a new utility nonprovisional application in a foreign language, does it have to be in DOCX format to avoid the non-DOCX surcharge?
Do I have to use Microsoft Word to create my DOCX file?
DOCX files can be created in Microsoft Word 2007 or higher, Google Docs, Office Online, LibreOffice, and Pages for Mac.
How do I report and/or correct any perceived discrepancies in my file?
If you filed your application with the optional applicant-generated backup PDF (Auxiliary PDF), and need to make a correction to your application that is supported by the applicant-generated PDF (rather than the validated DOCX version), you should file a petition under 37 CFR 1.182. The fee for this type of petition, normally required under 37 CFR 1.17(f), will be waived.
Alternatively, if you file an application in DOCX format that includes a proper priority claim under 37 CFR 1.55 or proper benefit claim under 37 CFR 1.78, you may be able to address discrepancies resulting from filing an application in DOCX format, based on the incorporation by reference provisions of 37 CFR 1.57(b), instead of filing a petition.
Can you tell me more about the feedback document I receive when filing in DOCX format using Patent Center?
Is using the DOCX format secure?
- The DOCX format is an international standard defined under ECMA-376 and ISO/IEC 29500 and approved by the Library of Congress.
- The submission of a DOCX file generates a unique hash based on the content within the file. The algorithm is similar to what is currently in Patent Center for PDF submissions and confirms the DOCX file cannot be changed post-submission.
- For security, the system rejects DOCX with macros (DOCM), and implements virus detection software to prevent malware.
What happens to the metadata in DOCX files?
Can I upload a single document in DOCX that includes the specification, claims, abstract and drawings?
Which uploaded documents do I have to review to make sure no mistakes were made?
Will my patent applications which include chemical structures, equations, etc. be loaded correctly in DOCX?
Is requiring the DOCX format just adding another step in the process for applicants?