37 CFR 42.6: Filing of documents, including exhibits; service

Taken from the Ninth Edition of the MPEP, Revision 07.2015, Last Revised in November 2015

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42.6    Filing of documents, including exhibits; service.

  • (a) General format requirements.
    • (1) Page size must be 81⁄2 inch × 11 inch except in the case of exhibits that require a larger size in order to preserve details of the original.
    • (2) In documents, including affidavits, created for the proceeding:
      • (i) Markings must be in black or must otherwise provide an equivalent dark, high-contrast image;
      • (ii) 14-point, Times New Roman proportional font, with normal spacing, must be used;
      • (iii) Double spacing must be used except in claim charts, headings, tables indices, signature blocks, and certificates of service. Block quotations may be 1.5 spaced, but must be indented from both the left and the right margins; and
      • (iv) Margins must be at least 2.5 centimeters (1 inch) on all sides.
    • (3) Incorporation by reference; combined documents. Arguments must not be incorporated by reference from one document into another document. Combined motions, oppositions, replies, or other combined documents are not permitted.
    • (4) Signature; identification. Documents must be signed in accordance with §§ 1.33 and 11.18(a) of this title, and should be identified by the trial number (where known).
  • (b) Modes of filing.
    • (1) Electronic filing. Unless otherwise authorized, submissions are to be made to the Board electronically via the Internet according to the parameters established by the Board and published on the Web site of the Office.
    • (2)
      • (i) Filing by means other than electronic filing. A document filed by means other than electronic filing must:
        • (A) Be accompanied by a motion requesting acceptance of the submission; and
        • (B) Identify a date of transmission where a party seeks a filing date other than the date of receipt at the Board.
      • (ii) Mailed correspondence shall be sent to: Mail Stop PATENT BOARD, Patent Trial and Appeal Board, United States Patent and Trademark Office, PO Box 1450, Alexandria, Virginia 22313–1450.
  • (c) Exhibits. Each exhibit must be filed with the first document in which it is cited except as the Board may otherwise order.
  • (d) Previously filed paper. A document already in the record of the proceeding must not be filed again, not even as an exhibit or an appendix, without express Board authorization.
  • (e) Service.
    • (1) Electronic or other mode. Service may be made electronically upon agreement of the parties. Otherwise, service may be by Priority Mail Express® or by means at least as fast and reliable as Priority Mail Express®.
    • (2) Simultaneous with filing. Each document filed with the Board, if not previously served, must be served simultaneously on each opposing party.
    • (3) Counsel of record. If a party is represented by counsel of record in the proceeding, service must be on counsel.
    • (4) Certificate of service.
      • (i) Each document, other than an exhibit, must include a certificate of service at the end of that document. Any exhibit filed with the document may be included in the certification for the document.
      • (ii) For an exhibit filed separately, a transmittal letter incorporating the certificate of service must be filed. If more than one exhibit is filed at one time, a single letter should be used for all of the exhibits filed together. The letter must state the name and exhibit number for every exhibit filed with the letter.
      • (iii) The certificate of service must state:
        • (A) The date and manner of service; and
        • (B) The name and address of every person served.
[Added, 77 FR 48612, Aug. 14, 2012, effective Sept. 16, 2012; para. (e)(1) revised, 79 FR 63036, Oct. 22, 2014, effective Oct. 22, 2014; para. (a)(2)(ii) revised, 80 FR 28561, May 19, 2015, effective May 19, 2015]