1. Patents e-Filing Update Biotechnology/Chemical/Pharmaceutical Customer Partnership November 15, 2001

2. 2 Todays Topics n Patent Electronic Business Center É Current Status and Whats New n Application Data Sheets n CD-ROM Submissions n Future Electronic Services

3. 3 Patent Electronic Business Center (EBC) n Provides access to electronic business applications for patent customers É Customer Number n Required for PAIR and EFS É Public Key Infrastructure (PKI) n Security software to support electronic commerce n Required for PAIR and EFS

4. 4 Patent Electronic Business Center (EBC) n Patent Application Information Retrieval (PAIR) É Access to application status and history via the Internet n Patent Electronic Filing System (EFS) É Filing of patent applications via the Internet

5. 5 Patent Electronic Business Center (EBC) How do I get there? Click on: Online Business Business Go to: www.uspto.gov

6. 6 Patent Electronic Business Center (EBC) Click on: Patent Electronic Business Center Business Center

7. 7 Patent Electronic Business Center (EBC) Click on: New Users to register

8. 8 Patent Electronic Business Center (EBC) Electronic Business Center (EBC) Customer Service Center n Available 24 hours a day, 7 days a week É Telephone: (703) 305-3028 É e-Mail: EBC@uspto.gov or EFS@uspto.gov É Fax: (703) 308-2840

9. 9 United States Patent and Trademark Office Patent Application Information Retrieval

10. 10 Patent Application Information Retrieval (PAIR) n Increased customer access to Patent and Patent Application information É Provides direct on-line access to application status and prosecution history É Available 24 hours a day, 7 days a week É Saves customer and USPTO resources to process requests for status information

11. 11 Public n Requires NO PKI software n Review Patented & Published Application Information É Prosecution History É Status and Location Private n Requires PKI software n Requires Customer Number n Review Pending & Patented Application Information É Prosecution History É Status and Location É Limited Bibliographic Data USPTO Employee Directory Patent Application Information Retrieval (PAIR)

12. 12 Private PAIR Requires Customer Number and PKI Certificate Patent Application Information Retrieval (PAIR)

13. 13 Application Number Search Patent Application Information Retrieval (PAIR)

14. 14 PAIR Interface NEW Continuity Data Parent and Child

15. 15 PAIR Interface Customer Number Search

16. 16 NEW Bibliographic Data Review Screen Private PAIR Patent Application Information Retrieval (PAIR)

17. 17 Patent Application Information Retrieval (PAIR) Bibliographic Data Review Screen Request Changes

18. 18 Change Request Instructions Changes That May NOT Be Requested Patent Application Information Retrieval (PAIR)

19. 19 Domestic Publication of Patent Applications Published Abroad Domestic Publication of Patent Applications Published Abroad Bibliographic Data Review Screen Change Request Receipt

20. 20 Patent Application Information Retrieval (PAIR) PAIR Review of PTA Calculation Note: The application must have been filed on or after 5/29/00, or have had a CPA entered therein on or after 5/29/00

21. 21 Public PAIR Patent Application Information Retrieval (PAIR)

22. 22 Maintenance Fees Public/Private PAIR Patent Application Information Retrieval (PAIR)

23. 23 PAIR Interface

24. 24 PAIR Benefits n Provide better customer service n Permits PTO staff to focus on application processing PTO n Direct electronic information retrieval n Real-time tracking of application status Customer

25. 25 United States Patent and Trademark Office Patent Electronic Filing System

26. 26 Electronic Filing System (EFS) EFS facilitates electronic authoring and secure submission of patent application documents to the USPTO via the Internet.

27. 27 EFS Customer Benefits n File patent application submissions securely, 24/7over the Internet n First step to Electronic File Wrapper (EFW) and efficient electronic processing n Immediate electronic Acknowledgement Receipt É no delay while waiting for Postcard É use Application Number for same day paper filings n Expanded client service n Automatic paragraph and claim numbering facilitates future amendments

28. 28 EFS Filing Types EFS 2000: 1. New Utility Applications 2. Pre-Grant Publication Requests 3. CRF Biosequence Listings for pending applications EFS 2001 adds: 4. Provisional Applications 5. Multiple Assignments with a New Utility or as a separate submission

29. 29 EFS Software n Word processing tool É Patent Application Specification Authoring Tool (PASAT) É Type directly or copy text from source document n Submission tool É Electronic Packaging and Validation Engine (ePAVE) É Automatically bundle, compress, encrypt, wrap, and securely transmit to the USPTO via the Internet

30. 30 EFS Filing Statistics n Current: Filings 11/01/00 - 10/31/01: É 2045 Total Filings É 1884 New Utility É 153 Pre-Grant É 8 Biosequence n Goal: 80% of all patent filings by 2006

31. 31 Application Data Sheets n New option: use ePAVE to create for electronic or paper filings n Check web for guidelines: www.uspto.gov/web/offices/pac/dapp/sir/doc/patappde.html

32. 32 CD-ROM Submissions n n Computer Program Listings É É CD required for over 300 lines É É CD optional for less than 300 lines n n Sequence Listings É É CD is optional É É Optional CRF submission via ePAVE n n Tables É É CD optional if over 50 pages É É Paper required for less than 50 pages n n See 37 CFR 1.52, 1.58, 1.96(c), and 1.821(c)

33. 33 CD-ROM Submissions n n EFS É É CD required for over 10MB n n Use Group 4 compression on TIFF images to minimize É É 2 copies plus Transmittal required É É Must be CD-ROM or CD-R n n See 37 CFR 1.52(e) for details

34. 34 Future Electronic Services n n December 2001 É É Ability to file Provisionals É É Ability to file Multiple Assignments É É Improved network compatibility É É Ability to attach Appendix Data (e.g. computer program listings, large tables) as described in the Specification n n Early 2002 É É 50+ customer requested enhancements to PASAT

35. 35 Future Electronic Services n n Early 2002 É É WIPO pilot of PCT e-filing n n Spring 2002 É É USPTO pilot for implementation of international application and e-filing protocol n n Fall 2002 É É Full implementation of international e-filing standards n n Author once, submit national and international É É PALM integration n n Electronic transactions for increased efficiency

36. 36 Future Electronic Services n n EFS December 2001 Software and Documentation É É From web: www.uspto.gov click on Online Business click on Patent Electronic Business Center click on Electronic Filing System É É Request mailing of CD: EBC Customer Support Center at EFS@uspto.gov n n EFS Training Classes É É Contact: sylvia.phan@uspto.gov (703) 308-5825