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USPTO’s new web-based patent application and document submission solution Welcome to EFS-Web Training.

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Presentation on theme: "USPTO’s new web-based patent application and document submission solution Welcome to EFS-Web Training."— Presentation transcript:

1 USPTO’s new web-based patent application and document submission solution Welcome to EFS-Web Training

2 United States Patent and Trademark Office Today’s Training Agenda Welcome and Electronic Filing Background Getting Started –Electronic Business Center –System Requirements –Creating PDF Files Overview and Filing Demonstration –EFS–Web Demo –System Nuances –Document Descriptions Extras –PDF Fillable Forms Questions and Answers

3 United States Patent and Trademark Office Important Background Information USPTO is reengineering the entire patent prosecution process to deal with the realities of today’s IP needs Patent filing is a paper-intensive process, with over 2 million pages submitted weekly USPTO has developed a new web-based patent filing system after intense consultation and feedback from the IP law community – over 200 Beta users

4 United States Patent and Trademark Office Goals Have at least 10% of all patent applications filed electronically by September 30, 2006 Create ongoing dialogue with industry regarding patent prosecution process improvement

5 United States Patent and Trademark Office Introducing EFS-Web USPTO’s new web-based patent application and document submission solution

6 United States Patent and Trademark Office What EFS-Web Does Rapid online submission of PDF files of patent applications and documents Online payment of patent application and document filing fees Verifies and validates files before submission Provides a valid filing receipt that is the equivalent of an Express Mail receipt

7 United States Patent and Trademark Office EFS-Web Benefits Provides electronic acknowledgement receipt and virtually immediate access to patent application data in Private PAIR Dramatically reduces paper and filing needs Allows online collaboration among IP professionals who can file applications and papers anywhere, anytime

8 United States Patent and Trademark Office EFS-Web Benefits Eliminates charges for Express Mail & couriers Eliminates possibility of losing applications enroute to USPTO Plays a vital role in strengthening the U.S. IP system

9 United States Patent and Trademark Office EFS-Web Benefits Safe EFS-Web submissions protected with your receipt date just like a postcard Simple Even the largest and most complex patent applications can be submitted using PDF files and a few web screens Secure EFS-Web submissions are protected through encrypted communications between USPTO and users’ browsers

10 United States Patent and Trademark Office User Accesses USPTO Portal User Accesses USPTO Portal Access EFS-Web As Unregistered Filer Access EFS-Web As Unregistered Filer Authenticate as Registered Filer Authenticate as Registered Filer Choose Filing Type Choose Filing Type New Application Design Utility Provisional 371 Existing Application Saved Package Last 20 EFS receipts Choose Filing Type Choose Filing Type New Application Design Utility Provisional 371 How EFS-Web Works Pay Fees Via RAM Interface Pay Fees Via RAM Interface Access Filing in Private PAIR (Registered Filer Only) Access Filing in Private PAIR (Registered Filer Only) Receive Acknowledgement Receipt Receive Acknowledgement Receipt Choose Payment Options Choose Payment Options Enter Key Patent Application Data (New Only) Enter Key Patent Application Data (New Only) Attach PDF Files Attach PDF Files Upload and Validate Upload and Validate Calculate Fees (Optional) Calculate Fees (Optional) Submit

11 United States Patent and Trademark Office What Can Be Filed? New Applications –New Utility –Provisional –Design with Color Drawings –371 National Stage Follow-on submissions associated with an Application Document Description List –Over 80 document descriptions – Amendments, Petitions, Board of Appeals Documents, Non-Patent Literature, Foreign References Cited, Application Data Sheet, Information Disclosure Statement, etc. Numerous Fees –Filing Fees –Extensions of Time –Petition Fees

12 United States Patent and Trademark Office What Cannot Be Filed? Text files (Fall 2006) –Bio. Sequence Listings –Computer Program Listings –Text Tables PCT International Applications (Fall 2006) Maintenance Fees New Plant Applications or Color Plant Drawings Documents related to Registration Practice & Disciplinary Proceedings Certified Copies (Ribbon Copies) Reexamination and Reissue Secrecy Order Applications and/or Documents Contested Cases at Board of Appeal and Interferences Third party papers under 37 CFR 1.99 Protests under 37 CFR Public use hearing papers under 37 CFR 1.292

13 United States Patent and Trademark Office Who Can Submit Patent Applications and Documents Unregistered Filers Anyone who visits EFS-Web can submit patent applications Patent attorneys, patent agents, paralegals, legal secretaries, pro se filers A customer number is NOT required for submissions Registered Filers Those who obtain a Digital Certificate in advance from USPTO’s Electronic Business Center (EBC)

14 USPTO’s new web-based patent application and document submission solution Electronic Business Center

15 United States Patent and Trademark Office Customer Number PKI Certificates/Digital CertificatesElectronic Filing System Patent Application Information Retrieval Electronic Business Center (EBC)

16 United States Patent and Trademark Office Customer Number Anyone can have a Customer Number Customer Number can be used for indicating: Correspondence Address Power of Attorney Maintenance Fee A law firm may have multiple customer numbers to manage relationship to various clients An attorney may view applications in Private PAIR if his/her registration number is associated with the customer number Allows individual to change address for multiple applications with one form

17 United States Patent and Trademark Office Obtaining a Digital Certificate User downloads and fills out Certificate Action Form User gets the Certificate Action Form notarized Certificate Action Form mailed/overnighted to USPTO’s Electronic Business Center Digital Certificate is typically issued 3-4 days after the EBC receives the form

18 United States Patent and Trademark Office Legal Notes Digital Certificate Subscriber Agreement Certificate Sharing –Legal personnel working under the direction and control of a Digital Certificate holder may file if they provide name and address Upcoming Enhancements –Solution for corporate sharing of workload related to patent filing and viewing See EFS-Web Legal Framework for more information

19 United States Patent and Trademark Office Electronic Business Center (EBC) If you have questions or need technical assistance please contact our: Electronic Business Center (EBC) Monday – Friday (6am – Midnight EST) Phone: / * Select option 2 Fax:

20 USPTO’s new web-based patent application and document submission solution System Requirements

21 United States Patent and Trademark Office System Requirements Supported Operating Systems: Windows 2000, XP Macintosh OSX 10.4 Linux RedHat 9.0 Standard eCommerce Settings & Environment: Networks and Firewall Infrastructures MUST allow communication via HTTPS/SSLv3 or TLSv1 Workstations MUST run a supported version of Java Runtime Environment Software – Supported Browsers: –Internet Explorer 5.5, 6.0 –Netscape Navigator 7.x –Apple Safari 2.0 –Mozilla Browser Settings: –Browsers must accept cookies –Must enable java scripting –Must accept Entrust security applets –Firewalls must not strip packet header content –Browsers must support HTML frames Contact your IT department or the EBC for additional assistance

22 USPTO’s new web-based patent application and document submission solution PDF Creation

23 United States Patent and Trademark Office About PDF Technology PDF (Portable Document Format) is a universal file format Preserves the fonts, images, and layout of any source document regardless of application/platform used to create it EFS-Web accepts text-based and image-based PDF files EFS-Web requires you to have a PDF Creation Tool –PDF Reader - Allows you to view PDF files –PDF Writer (Creation Tool) - Allows you to create PDF files PDF

24 United States Patent and Trademark Office About PDF Files PDF Creation Tools that have been preliminarily tested by USPTO: –ABXPDF No configuration required Available free on –Adobe Professional –Open Office –Easy Office –Cute PDF –PDF 995 –Primo PDF –Amyuni PDF Converter Pro PDF

25 United States Patent and Trademark Office About PDF Files Document Format –Standard 8 1/2” x 11” –A4 (21 cm. by 29.7 cm) –Larger pages will be reduced to 8 1/2 x 11 Versions 1.1 – 1.6 of the PDF Specification Fonts –Must be embedded to ensure they travel with the document –All fonts must be licensed and legally embeddable PDF Fonts that are embedded become part of the PDF document. By using embedded fonts, the author ensures that the document will display and print exactly as it was intended.

26 United States Patent and Trademark Office About PDF File Objects: PDF Files should not include: –3D models –Color Images - Except drawings in Design applications –Images below the recommended 300 dpi –Attachments (sound, movie files, etc.) –Multi-page objects –Dependencies on external files or programs

27 United States Patent and Trademark Office About PDF Files Security Features –No password protected or encrypted PDF files are permitted –EFS-Web PKI infrastructure will handle encryption Embedded Code/Viruses –PDF document must be free of executables, worms, viruses or other malicious content –Files with malicious content will be deleted Other PDF File Features –No Commenting/ Reviewing features used –No Hyperlinks and bookmarks –No Layers

28 United States Patent and Trademark Office Creating PDF files Scan- Transfer paper to an electronic document by scanning your document Print- Using Adobe PDF print driver & USPTO –JobOptions or use another recommended PDF print driver Convert- Using Adobe Professional menu

29 United States Patent and Trademark Office PDF File Naming Convention Filename.pdf –Start with [A-Z, a-z, 0-9 ] excluding brackets and commas Last 4 characters need to be.pdf Can consist of: –[A-Z, a-z, 0-9, _, -] excluding brackets and commas No spaces in actual PDF file name Spaces permitted in file path Can be up to 100 characters long including.pdf

30 USPTO’s new web-based patent application and document submission solution Adobe Job Options

31 United States Patent and Trademark Office Adobe JobOptions What Adobe.JobOptions file does: –It sets your Adobe Print Driver to use acceptable USPTO PDF settings –And configures your settings by: Compressing Setting minimum resolution Embedding fonts Where the USPTO.JobOptions file and installation instructions can be found: –http://www.uspto.gov/ebc/portal/tools.htm

32 USPTO’s new web-based patent application and document submission solution PDF Validation

33 United States Patent and Trademark Office Validation Warnings Page size is not 8 ½ by 11 inches or A4 Non-licensed fonts An ADS or IDS is attached that is not an USPTO fillable form An USPTO ADS or IDS Fillable form that is missing data from key fields Two or more files with the same name

34 United States Patent and Trademark Office Validation Errors Non-embedded fonts Secure file (password encrypted) Any version of PDF that is not supported (below 1.1) PDF containing OLE (object linking and embedding) files Not a PDF file type File size over 25MB (except USPTO fillable forms)

35 United States Patent and Trademark Office Legal Notes Signature Requirements 1)PDF created by Scanning - You may print documents, wet sign and scan them back in as a PDF file - You may scan in an image of a signature and insert the signature into a PDF file 2)PDF created by Printing/Converting - Enter your electronic signature into a document and then print/convert to PDF file 3)USPTO Fillable Form - Enter your electronic signature into the signature field(s) in the form 4)Signature Examples 1) General Format: /Jane Doe/ 2) Registered Attorney: /Jane Doe/ Jane Doe Jane Doe 99,999 Sign all documents according to 37CFR 1.4 See Page 11 of EFS-Web Legal Framework for more information

36 USPTO’s new web-based patent application and document submission solution EFS-Web Overview

37 United States Patent and Trademark Office User Accesses USPTO Portal User Accesses USPTO Portal Access EFS-Web As Unregistered Filer Access EFS-Web As Unregistered Filer Authenticate as Registered Filer Authenticate as Registered Filer Choose Filing Type Choose Filing Type New Application Design Utility Provisional 371 Existing Application Saved Package Last 20 EFS receipts Choose Filing Type Choose Filing Type New Application Design Utility Provisional 371 Pay Fees Via RAM Interface Pay Fees Via RAM Interface Access Filing in Private PAIR (Registered Filer Only) Access Filing in Private PAIR (Registered Filer Only) Receive Acknowledgement Receipt Receive Acknowledgement Receipt Choose Payment Options Choose Payment Options Enter Key Patent Application Data (New Only) Enter Key Patent Application Data (New Only) Attach PDF Files Attach PDF Files Upload and Validate Upload and Validate Calculate Fees (Optional) Calculate Fees (Optional) Submit How EFS-Web Works

38 United States Patent and Trademark Office Demonstration Scenarios Unregistered eFiler –New filing Registered eFiler –Follow-on filing –Multi-doc Amendment –Save Submission Review Submission in Private PAIR

39 USPTO’s new web-based patent application and document submission solution EFS-Web Demo

40 United States Patent and Trademark Office Legal Notes Acknowledgement Receipt Electronic equivalent of a post card for the submission – Official Filing receipt will still be sent by US postal service Receipt date is based on Eastern Standard Time (EST) Provides: –-Receipt Date which establishes the Filing Date - Application Number and confirmation number - EFS ID (unique identifier of the submission to assist in support) - Bibliographic data - PDF Filename(s), page count of the file(s), and document description(s) - Fee amount and acknowledgement of payment Contact the Patent Electronic Business Center if you have problems viewing your submissions receipt

41 United States Patent and Trademark Office Legal Notes Post Submission Procedures Fee Payment - Pay applicable fees for new applications before midnight EST of the date of filing without penalty Missing Parts - Registered users can file missing parts within the same day as follow-on documents - Will not be considered late - Will not require a late/missing surcharge in certain situations Amending Parts/Corrections - Express Abandonment - May request refund for certain fees

42 USPTO’s new web-based patent application and document submission solution EFS-Web Indexing

43 United States Patent and Trademark Office Indexing EFS-Web Submissions Indexing –Indexing is applying a document description to a PDF File or a page range in a PDF File –All PDF Files or documents in a multi-document PDF File must be indexed –There are over 80 document descriptions offered in EFS-Web –All indexing is checked by USPTO personnel –Indexing has no legal relationship to the patent application, indexing is an administrative act for processing the submission

44 United States Patent and Trademark Office Indexing EFS-Web Submissions Why index? –Allows for quicker and more accurate downstream processing of your submission Documents are instantly routed to the Image File Wrapper Un-indexed documents would have to put the submission in a temporary storage Generates work flow and assigns the submission to USPTO personnel to be acted upon How do I index? –Choose a document description from the drop down list –Categories are used in assisting in finding the document description –Filter the document descriptions into frequently used groups

45 United States Patent and Trademark Office Common Indexing Scenario: New Application Filing (Utility) These documents are often included in a new application: –Transmittal Letter (Cover Letter; USPTO Form SB05; PTO-1390) –Drawings –Information Disclosure Statement (USPTO Form SB08A & SB08B) Foreign Patent References Non-Patent Literature Documents –Application Data Sheet (USPTO Form SB014) –Fee Sheet (Using the “Calculate Fee” and “Pay Fees” Tabs in EFS-Web will generate, fill out and index the document correctly; USPTO Form SB017) –Foreign Priority (Cannot be filed in EFS-Web as it must be a ribbon-copy) –Incoming Specification - Not in English –Power of Attorney (USPTO Form SB81; PTO/SB/80)

46 United States Patent and Trademark Office Common Indexing Scenario: New Application Filing (Utility) New Utility Oath or Declaration (USPTO Form SB01A) Specification Claims Abstract Drawings

47 United States Patent and Trademark Office Common Indexing Scenario: Amendments Amendment Amendment type –Amendment after Non-Final –Amendment after Notice of Allowance (Rule 312) –Preliminary Amendment –Amendment after Final Amended application part (i.e. Specification, Claims, Abstract, Drawings) Applicant’s Arguments/Remarks made in an Amendment

48 United States Patent and Trademark Office Indexing Help Complete, sort-able List of Document Descriptions: –http://www.uspto.gov/ebc/portal/infodocuments.htm Help page “How to Index my Documents”: –http://www.uspto.gov/ebc/portal/beta/rules_doc_codes.htm

49 United States Patent and Trademark Office PDF Files: Multi-Doc A Multi-doc PDF is a single file that contains more than one document description –Each document section must begin on a new page –Page ranges must be entered for each section

50 USPTO’s new web-based patent application and document submission solution EFS-Web Nuances

51 United States Patent and Trademark Office Navigation The ‘Continue’ button must be used to proceed forward and to save your information Navigation Tabs (not the Browser buttons) are used to go back and review or make changes The Tab-key can be used to move from field to field NOTE: The Tabs allow users to move forward and backward to screens you have already visited. If you use the tabs to go back and make changes, you must click Continue to save those changes – if you simply use the Tab to go forward, the changes will be lost.

52 United States Patent and Trademark Office Navigation Asterisks (*) represent required fields Cancel vs. Logout (Cancel does not logout registered eFilers) Help and buttons Portal can be maximized to expand and remove the Navigation Links

53 United States Patent and Trademark Office Validation Page level validation messages will be displayed at the top of the page and also below the corresponding field Warning Messages vs. Error Messages –PDF files containing errors must be removed –PDF files containing warnings allow you to continue

54 USPTO’s new web-based patent application and document submission solution PDF Fillable Forms

55 United States Patent and Trademark Office Save form electronically with data embedded Print forms with data entered by the user PDF Fillable Form Import data in XML format from multiple sources Export data in XML format to document management systems and other databases Re-open the saved form to modify existing data Dynamic capability to add data Enhanced to interface with EFS-Web No special software required PDF Fillable Form Features

56 United States Patent and Trademark Office Fillable Forms Enabled for EFS-Web Application Data Sheet (ADS – 37 CFR 1.76) New Utility, Provisional, Design & 371 National Stage Contains Bibliographic Data New to USPTO Updates current form SB 14 Information Disclosure Statement (IDS – 37 CFR 1.97 & 1.98) Listing all U.S. patents and U.S. publications Foreign patent documents and non-patent literature (NPL) Updates current form SB 08a/b New Forms in Fall 2006 Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37CFR 1.378(c)) Request for Continuing Examination (RCE)

57 United States Patent and Trademark Office EFS-Web and Other Forms Legacy PDF forms –PDF forms are on the USPTO web site, but these do not save data describe –Field information will not be automatically loaded onto USPTO systems –Print to Image –Legacy forms located at: User-created fillable form PDF files and User- modified USPTO fillable form PDF files –User data will be accepted –Data in individual fields will not auto-load into USPTO systems

58 United States Patent and Trademark Office Client and Server Validation Client Validation Checks for data type, field length, etc Checks that mandatory fields are filled so form will auto-load into USPTO Systems Server Validation Checks that the official USPTO Fillable Form is received Checks for ADS/IDS Form Version 1.0 and above If the ADS / IDS Fillable Form has been modified –Data will not be auto loaded If the customer creates their own ADS / IDS Fillable Form –Data will not be auto loaded

59 United States Patent and Trademark Office Adobe Reader 7.0 is Required Update to version for optimal performance How to check the version - Select Help - About Adobe Reader Updating 6.0 and below will only update that version Must uninstall old version then install Adobe Reader 7.0 Technical Requirements

60 United States Patent and Trademark Office Form Nuances Optimum performance with latest Adobe version Title of Invention and Inventor Name character limitation –Special characters such as ©, ®, ™, ß, ë, µ, Ü, ñ, etc can be entered but translation errors may occur Auto load can fail if: –Blank Applicant sections are created –Continuity Type is not selected –Continuity Type, Prior Application Number, and Filing Date are not entered in the Continuity Statement

61 United States Patent and Trademark Office Questions ?

62 USPTO’s new web-based patent application and document submission solution Thank you for attending


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