Transcript EFS-Web: PDF Files & Guidelines

Welcome to EFS-Web Training
USPTO’s new web-based patent application and document submission solution
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
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
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
United States Patent and Trademark Office
Introducing EFS-Web
USPTO’s new web-based patent application and document submission solution
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
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
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
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
United States Patent and Trademark Office
How EFS-Web Works
User
Accesses USPTO
Portal
Access EFS-Web
As Unregistered
Filer
Authenticate as
Registered
Filer
Choose
Filing
Type
Choose
Filing
Type
•New Application
• Design
• Utility
• Provisional
• 371
•New Application
• Design
• Utility
• Provisional
• 371
•Existing Application
•Saved Package
•Last 20 EFS receipts
Enter
Key Patent
Application Data
(New Only)
Choose
Payment
Options
Attach PDF
Files
Pay Fees
Via RAM
Interface
United States Patent and Trademark Office
Upload
and
Validate
Receive
Acknowledgement
Receipt
Calculate
Fees
(Optional)
Submit
Access Filing in
Private PAIR
(Registered Filer Only)
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
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
United States Patent and Trademark Office
• 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
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
Electronic Business Center
USPTO’s new web-based patent application and document submission solution
Electronic Business Center
(EBC)
Electronic Filing System
Patent Application Information Retrieval
United States Patent and Trademark Office
PKI Certificates/Digital Certificates
Customer Number
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
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
http://www.uspto.gov/ebc/portal/infocustomernumber.htm
Certificate Action Form
mailed/overnighted
to USPTO’s Electronic
Business Center
United States Patent and Trademark Office
Digital Certificate is
typically issued 3-4 days
after the EBC receives the form
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 email 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
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: 1-866-217-9197 / 571-272-4100
* Select option 2
Fax:
571-273-0177
Email: [email protected]
United States Patent and Trademark Office
System Requirements
USPTO’s new web-based patent application and document submission solution
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 or the EBC for additional assistance
United States Patent and Trademark Office
–
PDF Creation
USPTO’s new web-based patent application and document submission solution
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
United States Patent and Trademark Office
PDF
About PDF Files
• PDF Creation Tools that have been preliminarily
tested by USPTO:
– ABXPDF
• No configuration required
• Available free on www.USPTO.gov
–
–
–
–
–
–
Adobe Professional
Open Office
Easy Office
Cute PDF
PDF 995
Primo PDF
– Amyuni PDF Converter Pro
United States Patent and Trademark Office
PDF
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
PDF
• Versions 1.1 – 1.6 of the PDF Specification
• Fonts
– Must be embedded to ensure they travel with the document
mustbecome
be licensed
andPDF
legally
embeddable
Fonts –
thatAll
arefonts
embedded
part of the
document.
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
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
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
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
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
United States Patent and Trademark Office
Adobe Job Options
USPTO’s new web-based patent application and document submission solution
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
United States Patent and Trademark Office
PDF Validation
USPTO’s new web-based patent application and document submission solution
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
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)
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/
Jane Doe
2) Registered Attorney: /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
EFS-Web Overview
USPTO’s new web-based patent application and document submission solution
How EFS-Web Works
User
Accesses USPTO
Portal
Access EFS-Web
As Unregistered
Filer
Authenticate as
Registered
Filer
Choose
Filing
Type
Choose
Filing
Type
•New Application
• Design
• Utility
• Provisional
• 371
•New Application
• Design
• Utility
• Provisional
• 371
•Existing Application
•Saved Package
•Last 20 EFS receipts
Enter
Key Patent
Application Data
(New Only)
Choose
Payment
Options
Attach PDF
Files
Pay Fees
Via RAM
Interface
United States Patent and Trademark Office
Upload
and
Validate
Receive
Acknowledgement
Receipt
Calculate
Fees
(Optional)
Submit
Access Filing in
Private PAIR
(Registered Filer Only)
Demonstration Scenarios
• Unregistered eFiler
– New filing
• Registered eFiler
– Follow-on filing
– Multi-doc Amendment
– Save Submission
• Review Submission in Private PAIR
United States Patent and Trademark Office
EFS-Web Demo
USPTO’s new web-based patent application and document submission solution
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
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
United States Patent and Trademark Office
EFS-Web Indexing
USPTO’s new web-based patent application and document submission solution
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
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
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)
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
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
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
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
EFS-Web Nuances
USPTO’s new web-based patent application and document submission solution
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.
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
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
United States Patent and Trademark Office
PDF Fillable Forms
USPTO’s new web-based patent application and document submission solution
PDF Fillable Form Features
Enhanced to
interface with EFS-Web
Print forms with data
entered by the user
No special
software required
PDF
Fillable Form
Re-open the saved form
to modify existing data
Dynamic capability
to add data
Save form electronically
with data embedded
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
Fillable Forms Enabled
for EFS-Web
• Application Data
• Sheet (ADS – 37 CFR 1.76)
• Information Disclosure
Statement (IDS – 37 CFR
1.97 & 1.98)
• New Utility, Provisional,
Design & 371 National Stage
• Contains Bibliographic Data
• New to USPTO Updates
current form SB 14
• 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))
United
States Patent
Trademark Office
• Request
forand
Continuing
Examination
(RCE)
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:
• http://www.uspto.gov/web/forms/index.html
• User-created fillable form PDF files and Usermodified USPTO fillable form PDF files
– User data will be accepted
– Data in individual fields will not auto-load into USPTO systems
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
United States Patent and Trademark Office
Technical Requirements
•Adobe Reader 7.0 is Required
•Update to version 7.0.7 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
Form Nuances
• Optimum performance with latest Adobe 7.0.7 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
United States Patent and Trademark Office
Questions
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Thank you for attending
USPTO’s new web-based patent application and document submission solution