The United States Patent and Trademark Office Presents

The United States Patent and Trademark Office Presents EFS-Web Training 1. 4 United States Patent and Trademark Office 1

What is EFS-Web? EFS-Web – EFS-Web is the United States Patent and Trademark Office’s (USPTO’s) web-based electronic filing system for patent correspondence, that is, new patent applications and follow-on correspondence. United States Patent and Trademark Office 2

EFS-Web Functionality • Online submission of PDF files, PCT-SAFE. zip files, and ASCII text 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 legal equivalent of a postcard receipt. • Speeds access to application through Private PAIR. United States Patent and Trademark Office 3

EFS-Web Benefits • EFS-Web is safe. • EFS-Web is simple. • EFS-Web is secure. United States Patent and Trademark Office 4

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 these submissions. • Registered Filers • Those who obtain a Digital Certificate in advance from the USPTO’s Electronic Business Center (EBC). • A registered attorney or independent inventor can apply for a Digital Certificate. United States Patent and Trademark Office 5

Overview Information What Can Be Filed? • New Applications – Utility: Accelerated Exam, Provisional, Reexam, Nonprovisional under 111(a), Reissue, and 371 National Stage. – Design: Accelerated Exam, Reexam, Nonprovisional under 171 with Color Drawings and Reissue. – International applications for filing in the U. S. Receiving Office. • Existing Applications – Follow-on papers – Pre-Grant publications under 37 CFR 1. 211 – 1. 221 – Petition to Accept Unintentionally Delayed Payment of Maintenance Fees in an Expired Patent (37 CFR 1. 378(c)) – Petition to Make Special based on Age – Request for Continued Examination (RCE) United States Patent and Trademark Office 6

What Cannot be Filed Using EFS-Web? • • • Credit Card Authorization Form - PTO-2038 Assignments Maintenance Fees New Plant Applications or Color Plant Drawings Documents related to Registration Practice & Disciplinary Proceedings Certified Copies (Ribbon Copies) Secrecy Order Applications and/or Documents Contested Cases at the Board of Appeals 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 7

System Requirements Supported Operating Systems: • • • Windows 2000, XP Macintosh OSX 10. 4 Linux Red. Hat 9. 0 Standard e-Commerce Settings & Environment: • • Networks and Firewall Infrastructures MUST allow communication via HTTPS/SSLv 3 or TLSv 1. Workstations MUST run a supported version of Java Runtime Environment Software. Supported Browsers: • Internet Explorer 5. 5, 6. 0 • Netscape Navigator 8. 1 • Apple Safari 2. 0 • Mozilla 1. 7. 3 • Firefox 2 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 8

EFS-Web – Acceptable File Formats • PDF Files – For any document description except for ones that require. txt files. • Zip Files – Only when using PCT-SAFE (in PCT-EASY mode) for PCT filings. • Text Files – – – Bio-Sequence Listings Computer Program Listings Mega tables 3 D Protein Crystals Mathematical Formulae Chemical Formulae. United States Patent and Trademark Office 9

• New Application • Accelerated Exam • Design • Reissue (Design and Utility) • Utility • Reexam • Provisional • 371 • International Application • Existing Application • Petition How EFS-Web Works User Accesses the USPTO Portal Access EFS-Web As Unregistered Filer Authenticate as Registered Filer Enter Key Patent Application Data (New Only) Attach PDF, Zip, or TXT Files Choose Filing Type • New Application • Accelerated Exam • Design • Reissue (Design and Utility) • Utility • Reexam • Provisional • 371 • International Application • Existing Application • Pre-Grant Publication • Petition • My Workplace • Saved Submissions • Last 40 EFS receipts Choose Filing Type Upload and Validate Calculate Fees (Optional) Submit Petition Pre-Grant Pub Pay then Submit Choose Pay Fees Payment Via RAM United States Patent and Trademark Office Options Interface Receive Acknowledgement Receipt and Grant Letter Access Filing in Private PAIR (Registered Filer Only) 10

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 relationships 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 11

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 the USPTO’s Electronic Business Center United States Patent and Trademark Office Digital Certificate is typically issued within a week after the EBC receives the form 12

Legal Notes Digital Certificate Subscriber Agreement 1) Certificate Sharing Ø Legal personnel working under the direction and control of a Digital Certificate holder may file if they provide name and e-mail address. 2) Upcoming Enhancements Ø Administrative Certificate to enable more efficient delegation of workload related to patent filing and viewing. See EFS-Web Legal Framework for more information United States Patent and Trademark Office 13

Portable Document Format (PDF) USPTO’s new web-based patent application and document submission solution 14

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 – PDF Reader - Allows you to view PDF files. – PDF Writer (Creation Tool) - Allows you to create PDF files. United States Patent and Trademark Office 15

About PDF Files • The following are PDF Writers 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 PDF United States Patent and Trademark Office 16

Creating PDF files There are three ways to create PDF files: 1) Scan- Transfer paper to an electronic document by scanning your document. 2) Print- Using Adobe PDF print driver & USPTO Job. Options or another recommended PDF print driver. 3) Convert- Using Adobe Professional menu. United States Patent and Trademark Office 17

About PDF Files • Document Format • • Standard 8½” x 11” or A 4 (21 cm. by 29. 7 cm. ) PCT applications require A 4 paper size. Larger pages will be reduced to 8 ½ x 11. Above 14” x 14” will be rejected. 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 18

About PDF File Objects: The PDF Files should not include: • 3 D models • Color Images • • Except drawings in Design applications Petition under 37 CFR 1. 84(a)(2) is required • 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 19

PDF File Requirements 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 • Do not include the following features in PDF File: – Commenting/Reviewing features – Hyperlinks and bookmarks – Layers. United States Patent and Trademark Office 20

PDF File Naming Convention Filename. pdf, filename. txt, filename. zip • Start with [A-Z, a-z , 0 -9 ] excluding brackets and commas • Last 4 characters need to be. pdf, . txt, . zip • Can consist of: [A-Z, a-z, 0 -9, _, -] excluding brackets and commas • No spaces in actual PDF, TXT, or ZIP file name • Spaces permitted in file path • Can be up to 100 characters long including. pdf, . txt, . zip. United States Patent and Trademark Office 21

Adobe Job. Options • What Adobe. Job. Options file does: • It sets your Adobe Print Driver to use acceptable USPTO PDF settings • And configures your settings by: ü Compressing ü Setting minimum resolution ü Embedding fonts • USPTO Job. Options file and installation instructions can be found: http: //www. uspto. gov/ebc/portal/tools. htm United States Patent and Trademark Office 22

PDF Fillable Form Features Enhanced to interface with EFS-Web Print forms with data entered by the user Adobe Reader (Version 7. 0. 8, 7. 0. 9, 8. 1. 1, 8. 1. 2, or 9. 0) 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 23

Fillable Forms enabled for EFS-Web Forms Available Now SB 08 A - Information Disclosure Statement (IDS – 37 CFR 1. 97 & 1. 98) SB 14 - Application Data Sheet (ADS – 37 CFR 1. 76) SB 16 - Provisional Application for Patent Cover Sheet (37 CFR 1. 53(c)) SB 28 - Petition to Make Special Under Accelerated Examination Program SB 30 - Request for Continuing Examination (RCE) SB 66 - Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1. 378(c)) SB 130 - Petition to Make Special Based on Age for Advancement of Examination (37 CFR 1. 102(c)(1)). United States Patent and Trademark Office 24

Information Disclosure Statement (IDS) • The electronic IDS form allows only citations of U. S. patents and U. S. patent application publications. • Visit http: //www. uspto. gov/ebc /portal/forms. htm for the latest version of the IDS form. United States Patent and Trademark Office 25

Application Data Sheet (ADS) • A voluntary all-in-one form. • Visit http: //www. uspto. gov/ ebc/portal/forms. htm for the latest version of the ADS form. United States Patent and Trademark Office 26

Provisional Cover Sheet • • Choose Provisional Cover Sheet (SB 16) as the document description, not Transmittal Letter. • United States Patent and Trademark Office Required when filing a provisional application for patent. Visit http: //www. uspto. gov/ebc/portal/ef s/Provisional. SB. pdf for Provisional Cover Sheet fillable form for use with EFS-Web. 27

Accelerated Examination • You can request Accelerated Examination for a Utility or Design application. • Visit http: //www. uspto. gov/ebc/po rtal/forms. htm for the latest version of the AE form. United States Patent and Trademark Office 28

Request for Continued Examination (RCE) • Submitted after a final rejection if the inventor still wants to pursue a patent. • Visit http: //www. uspto. gov/eb c/portal/forms. htm for the latest version of the RCE form. United States Patent and Trademark Office 29

Petition to Accept Unintentionally Delayed Payment of Maintenance Fees under 37 CFR 1. 387(c) • Entity Status and Fee selection determines fees due. • Provides immediate processing of petition. United States Patent and Trademark Office 30

Petition to Make Special Based on Age for Advancement of Examination • Required if an applicant would like to expedite their application based on their age (65 years of age, or older). • Provides immediate electronic processing of petition instead of submitting it to the Office of Petitions for manual processing. United States Patent and Trademark Office 31

Fillable Form Nuances • Adobe Reader version 7. 0. 8, 7. 0. 9, 8. 1. 1, 8. 1. 2, or 9. 0 is required. • Title of Invention and Inventor Name has character limitation in PALM. – Special characters such as ©, ®, ™, ß, ë, µ, Ü, ñ, etc. can be entered, but translation errors may occur. • The latest version of ALL fillable forms MUST be used. – Visit http: //www. uspto. gov/ebc/portal/forms. htm for latest version of EFS-Web fillable forms. – Version number found at lower left-hand corner of each page. United States Patent and Trademark Office 32

EFS-Web and other forms • Legacy PDF forms • All PDF forms on the USPTO Web site are fillable and savable. • Field information will not be automatically loaded into the USPTO systems. • Legacy forms located at: http: //www. uspto. gov/web/forms/index. html. • User-created fillable form PDF files • User-modified USPTO fillable form PDF files • User data will be accepted. • Field information will not be automatically loaded into the USPTO systems. United States Patent and Trademark Office 33

Fillable Forms Validation Client Validation • • Checks for data type, field length, etc. Checks that mandatory fields are completed so form will auto-load into the USPTO systems. – A partial load will take place if some, but not all the mandatory fields are completed. Server Validation • • Checks for USPTO Form Fillable Version 2. 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. • If Petition forms have missing or invalid data – Petition will not be auto-processed. United States Patent and Trademark Office 34

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

Fillable Form Technical Requirements • Update to version 7. 0. 8, 7. 0. 9, 8. 1. 1, 8. 1. 2, or 9. 0 (required). • 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 36

EFS-Web Filing Demonstration USPTO’s new web-based patent application and document submission solution 37

Access EFS-Web Portal United States Patent and Trademark Office 38

Selecting Filer Type Select e. Filer Type United States Patent and Trademark Office 39

EFS-Web E-Filer Registered Sign-On Enter Log-In Information Check the box. Locate PKI Certificate United States Patent and Trademark Office 40

File a New Application Certify Filer Information Select Application Type United States Patent and Trademark Office 41

File a New Application Dynamic Message United States Patent and Trademark Office 42

File a New Application Practitioner Registration Status Warning United States Patent and Trademark Office 43

Enter Application Data Enter Application Bibliographic Data Enter Inventor Name Enter Customer Number or Correspondence Address United States Patent and Trademark Office 44

Attach Documents Bibliographic Data is Echoed Back to Applicant Filter by Category Delete Files Attach Files Select Document Description United States Patent and Trademark Office 45

Progress Bar View the status of your upload United States Patent and Trademark Office 46

Review Documents Review Attached Files Edit or Remove Attached Files Attach Additional Files Validation Warning / Error Symbols United States Patent and Trademark Office 47

Calculate Fees Must select business size (Large or Small Entity) Fees Calculated Based on Values Entered by User United States Patent and Trademark Office 48

Confirm & Submit Final Opportunity to Review/Confirm/Edit Data Fees Calculated Final Review of Attached Files & Status Edit Files United States Patent and Trademark Office 49

Confirm & Submit Warning Dialogue box confirms applicants would like to save their submission United States Patent and Trademark Office 50

Pre-Acknowledgment Receipt Application Number, Confirmation Number, and EFS ID Displayed Total Fees Identified United States Patent and Trademark Office Payment Options Presented 51

Pre-Acknowledgment Receipt Payment Options Presented United States Patent and Trademark Office 52

Payment Options Choose Method of Payment United States Patent and Trademark Office 53

Pay Fees Authorize over and under charges to deposit account when paying by credit card or deposit account United States Patent and Trademark Office 54

Acknowledgment Receipt Date and Time Stamp Important Application Information United States Patent and Trademark Office Post-Submission Options 55

Acknowledgment Receipt Click on the E-mail Receipt Info link to launch the e-mail program. United States Patent and Trademark Office 56

Application in Private PAIR United States Patent and Trademark Office 57

View Saved Submissions My Workplace Select Saved Packages by Customer Number United States Patent and Trademark Office 58

View Last Acknowledgement Receipts Last 40 Acknowledgement Receipts View Application in Private PAIR United States Patent and Trademark Office 59

Navigation • The ‘Continue’ button must be used to proceed forward and to save your information. • The 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 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 60

Warning Messages • Warning Messages will appear while on the "Attach Documents" screen in EFSWeb for the following scenarios: – if the “Review” button is clicked prior to upload and validation – if the RO/101 document is not attached in PCT submissions – if a Provisional Cover sheet is not attached. United States Patent and Trademark Office 61

Validation Warnings Warning(s) • Validation warnings will occur for the following reasons: – Page size is not 8 ½ by 11 inches or A 4 – Non-licensed fonts – An ADS, IDS, RCE, or AE is attached that is not a USPTO fillable form. United States Patent and Trademark Office 62

Validation Errors Error(s) found • Validation errors will occur for the following reasons: – – – – – Secure file (password encrypted) Two or more files with the same file name 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 Attaching a. txt file and choosing an incorrect document description File size over 25 MB Page size above 14” x 14” Petition under 37 CFR 1. 378(c) has missing / incorrect data. United States Patent and Trademark Office 63

Legal Notes Acknowledgement Receipt • Electronic equivalent of an express mail receipt for the submission – Official filing receipt will still be sent by U. S. 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. • Contact the Patent Electronic Business Center if you have problems viewing your submissions receipt. United States Patent and Trademark Office 64

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/Abandonment - Express Abandonment - May request refund for certain fees United States Patent and Trademark Office 65

EFS-Web Indexing USPTO’s new web-based patent application and document submission solution 66

Indexing of EFS-Web Submission Indexing • Indexing is applying a document description to a PDF/TXT/ZIP File • Page ranges must be specified if multi-document selection is made in a PDF File • All files or the documents in a multi-document PDF File must be indexed • There are nearly 200 document descriptions offered in EFS-Web. However, the document description lists are presented based on the filing type chosen. • The filer still has the ability to choose a category to condense the document description list even more. • All indexing is checked by the USPTO personnel • Indexing has no legal relationship to the patent application; indexing is an function for processing the submission. United States Patent and Trademark Office 67

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 – Generates workflow and assigns the submission to the USPTO personnel to be acted upon. United States Patent and Trademark Office 68

Indexing Help • Complete, sortable List of Document Descriptions: http: //www. uspto. gov/ebc/portal/infodocuments. htm • Help page “How to Index Documents”: http: //www. uspto. gov/ebc/portal/efs/rules_doc_codes. htm United States Patent and Trademark Office 69

Electronic Business Center (EBC) Electronic Filing System Patent Application Information Retrieval United States Patent and Trademark Office PKI Certificates/Digital Certificates Customer Number 70

Electronic Business Center (EBC) If you have questions or need technical assistance please contact our: Electronic Business Center (EBC) Monday – Friday (6 am – Midnight, Eastern Time) Phone: 1 -866 -217 -9197 / 571 -272 -4100 * Select option 2 Fax: 571 -273 -0177 Email: EBC@uspto. gov United States Patent and Trademark Office 71

EFS-Web References • • FAQs Tools Training Tutorials Please visit http: //www. uspto. gov/ebc/efs_help. html for more information. United States Patent and Trademark Office 72

USPTO Support Patent Process Inquiries Inventors Assistance Center 1 -800 -786 -9199 Assignments Electronic Patent Assignment System epas@uspto. gov Assignments division 571 -272 -3350 Finance Office of Finance 571 -212 -6400 Maintenance Fees / Deposit Accounts 571 -272 -6500 International Filing PCT Helpdesk 571 -272 -4300 Legal Electronic Filing Questions Patent Electronic Business Center 1 -866 -217 -9197 Appeals/Interferences Board of Patent Appeals and Interferences 571 -272 -9797 Publications Office of Publications 1 -888 -786 -0101 Pre-grant Publications 703 -605 -4283 Registration Practices Office of Enrollment and Discipline 571 -272 -4097 Application Status (pre-examination) Office of Initial Patent Examination 571 -272 -4000 Patent Legal Administration 571 -272 -7700 Reexaminations Copies Office of Public Records 1 -888 -786 -0101 Central Reexamination Unit 571 -272 -7705 General Questions 571 -272 -7705 Reexamination Pre-Processing 571 -272 -7705 Petitions Reissues Office of Petitions 571 -272 -3282 United States Patent and Trademark Office Technology Center 571 -272 -7700 Patent Legal Administration 571 -272 -7700 73