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

2. Today’s Training Agenda
What is EFS-Web
EFS-Web Support
System Requirements and PDF Creation
Overview and Filing Demonstration
EFS–Web Demo
System Nuances
Document Descriptions
Extras
PDF Fillable Forms
Questions and Answers
United States Patent and Trademark Office

3. 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
United States Patent and Trademark Office

4. United States Patent and Trademark Office
What cannot be filed?
Credit Card Authorization Form - PTO-2038
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 1.291
Public use hearing papers under 37 CFR 1.292
United States Patent and Trademark Office

5. 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)
United States Patent and Trademark Office

6. EFS-Web Functionality
Online submission of PDF files of patent applications and documents
Verifies and validates PDF files & data before submission
Online payment of patent application and document filing fees
Provides a valid acknowledgement receipt that is the equivalent of a Post Card receipt
Speeds access to submission via Private PAIR
United States Patent and Trademark Office

7. EFS-Web Support
USPTO’s new web-based patent application and document submission solution

8. Monday – Friday (6am – Midnight EST)
Electronic Business Center (EBC)
Electronic Filing System
PKI Certificates/Digital Certificates
Patent Application Information Retrieval
Customer Number
Monday – Friday (6am – Midnight EST)
Phone: /
* Select option 2
Fax:
United States Patent and Trademark Office

9. Customer Number and PKI Certificate
Customer Number used for indicating
Correspondence Address for applications
Required to view applications in private PAIR access
PKI used for private PAIR access and Registered EFS-Web filing
Applications associated to Customer Number
Attorney Registration Number associated to Customer Number(s)
PKI Certification links Registration Number and Customer Number
Provides EFS-Web full functionality to eFiler
United States Patent and Trademark Office

10. Legal Notes Digital Certificate Subscriber Agreement
Certificate Sharing
Legal personnel working under the direction and control of a Digital Certificate holder my 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
United States Patent and Trademark Office

11. United States Patent and Trademark Office
Legal Notes
Paying Fees and Your Protection
The USPTO has noticed that some users are attaching the PTO-2038 form as a PDF along with their EFS-Web submission. Please be advised that this is not recommended and by doing so your credit card information may be displayed via PAIR. To protect your information, we recommend paying fees online by using the electronic payment method or attaching a fee sheet. PTO-2038 should only be faxed or mailed to the USPTO.
Questions? Contact the Electronic Business Center
United States Patent and Trademark Office

12. System Requirements and PDF Creation
USPTO’s new web-based patent application and document submission solution

13. Contact your IT department for additional assistance
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 1.7.3
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 for additional assistance
United States Patent and Trademark Office

14. United States Patent and Trademark Office
About PDF Files
PDF Writers 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
United States Patent and Trademark Office

15. 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
If the fonts are embedded, they become part of the PDF document. Whenever the PDF document is viewed or printed, the embedded fonts are used. By using embedded fonts, the author ensures that the document will display and print exactly as it was intended.
United States Patent and Trademark Office

16. PDF Files Should Not Have:
3D models or Layers
Will be flattened and lose content
Color Images
Except drawings in Design applications
Images below the recommended 300 dpi
Attachments (sound, movie files, viruses, etc.)
Password Security
Security performed by PKI
Dependencies on external files or programs
United States Patent and Trademark Office

17. 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
United States Patent and Trademark Office

18. United States Patent and Trademark Office
Validation Errors
Secure file (password encrypted)
Non-embedded fonts
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)
United States Patent and Trademark Office

19. Sign all documents according to 37CFR 1.4
Legal Notes
Signature Requirements
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
PDF created by Printing/Converting - Enter your electronic signature into a document and then print/convert to PDF file
USPTO Fillable Form - Enter your electronic signature into the signature field(s) in the form
Signature Examples
1) General Format: /Jane Doe/ ) 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
United States Patent and Trademark Office

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

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

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

23. United States Patent and Trademark Office
Demo Scenarios
Registered eFiler
Follow-on filing
Fillable Form
Multi-doc Amendment
Review submission in Private PAIR
United States Patent and Trademark Office

24. United States Patent and Trademark Office
Legal Notes
Acknowledgement Receipt
Electronic equivalent of an express mail receipt for the submission – Official Filing receipt will still be sent by US postal service
Receipt date is based on Eastern Time (ET)
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
United States Patent and Trademark Office

25. United States Patent and Trademark Office
Legal Notes
Post Submission Procedures
Fee Payment - Pay applicable fees for new applications before midnight Eastern Time 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
United States Patent and Trademark Office

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

27. Indexing of EFS-Web Submission
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
United States Patent and Trademark Office

28. Indexing of EFS-Web Submission
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
United States Patent and Trademark Office

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

30. 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)
United States Patent and Trademark Office

31. Common Indexing Scenario: Amendments
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
United States Patent and Trademark Office

32. United States Patent and Trademark Office
Indexing Help
Complete, sort-able List of Document Descriptions:
Help page “How to Index my Documents”:
United States Patent and Trademark Office

33. 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
United States Patent and Trademark Office

34. 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
United States Patent and Trademark Office

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

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

37. United States Patent and Trademark Office
Fillable Forms enabled for EFS-Web
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
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
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)
United States Patent and Trademark Office

38. United States Patent and Trademark Office
Technical Requirements
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
United States Patent and Trademark Office

39. United States Patent and Trademark Office
Form Nuances
Optimum performance with latest Adobe version with form version 1.0.1
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
United States Patent and Trademark Office

40. United States Patent and Trademark Office
Questions and Answers
United States Patent and Trademark Office

41. 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:
United States Patent and Trademark Office

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