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
•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
What can be filed?
• New Applications
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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?
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Credit Card Authorization Form - PTO-2038
Text files (Fall 2006)
– Bio. Sequence Listings
– Computer Program Listings
– Text Tables
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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
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
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
EFS-Web Support
USPTO’s new web-based patent application and document submission solution
Electronic Business Center
(EBC)
Electronic Filing System
PKI Certificates/Digital Certificates
Patent Application Information Retrieval
Customer Number
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
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
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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
Legal Notes
Digital Certificate Subscriber Agreement
1) Certificate Sharing
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Legal personnel working under the direction and control of a Digital
Certificate holder my file if they provide name and email address
2) Upcoming Enhancements
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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
Legal Notes
Paying Fees and Your Protection
The USPTO has noticed that some users are attaching the PTO2038 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 1-866-217-9197
United States Patent and Trademark Office
System Requirements and PDF
Creation
USPTO’s new web-based patent application and document submission solution
System Requirements
Supported Operating Systems:
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Windows 2000, XP
Macintosh OSX 10.4
Linux RedHat 9.0
Standard eCommerce Settings &
Environment:
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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
About PDF Files
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PDF Writers that have been preliminarily tested
by USPTO:
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ABXPDF (no configuration required, available free on
www.USPTO.gov)
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Adobe Professional
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Open Office
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Easy Office
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Cute PDF
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PDF 995
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Primo PDF
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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
• All fonts must be licensed and legally embeddable
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
PDF Files Should Not Have:
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3D models or Layers
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Will be flattened and lose content
Color Images
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Except drawings in Design applications
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Images below the recommended 300 dpi
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Attachments (sound, movie files, viruses, etc.)
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Password Security
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Security performed by PKI
Dependencies on external files or programs
United States Patent and Trademark Office
Validation Warnings
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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
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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
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)
EFS-Web Demo
USPTO’s new web-based patent application and document submission solution
Demo Scenarios
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Registered eFiler
– Follow-on filing
– Fillable Form
– Multi-doc Amendment
Review submission in Private PAIR
United States Patent and Trademark Office
Legal Notes
Acknowledgement Receipt
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Electronic equivalent of an express mail receipt for the submission
– Official Filing receipt will still be sent by US postal service
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Receipt date is based on Eastern Time (ET)
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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
Legal Notes
Post Submission Procedures
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Fee Payment
- Pay applicable fees for new applications before midnight Eastern Time of the date
of filing without penalty
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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
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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 of EFS-Web
Submission
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 of EFS-Web
Submission
• Why index?
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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?
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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)
New Utility
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4)
5)
Oath or Declaration (USPTO Form SB01A)
Specification
Claims
Abstract
Drawings
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:
Amendments
Amendment
1) Amendment type
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Amendment after Non-Final
Amendment after Notice of Allowance (Rule 312)
Preliminary Amendment
Amendment after Final
2) Amended application part (i.e. Specification, Claims, Abstract,
Drawings)
3) 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
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
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
Information Disclosure
Statement (IDS – 37 CFR
1.97 & 1.98)
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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)
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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))
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Request for Continuing Examination (RCE)
United States Patent and Trademark Office
Technical Requirements
•Adobe Reader 7.0 is Required
•Update to version 7.0.8 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
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Optimum performance with latest Adobe 7.0.8 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
Questions and Answers
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
Thank you for attending
USPTO’s new web-based patent application and document submission solution