# Presentation: 715965

## The United States 

**Patent and Trademark Office**
**Presents **
**EFS-Web 1.1 Basic Training**** **

**Notes:**
Welcome to the United States Patent and Trademark Offices’ EFS-Web training webcast.

My name is Brian Koma and I will be your moderator for today’s session. We are fortunate to have two presenters from USPTO today....

## Today’s Presenters

**Shanna Sims**
**EFS-Web Outreach Team**
**United States Patent & Trademark Office**

**Nick Rouvas**
**EFS-Web Outreach Team**
**United States Patent & Trademark Office**

**Notes:**
...Bill Stryjewski and Kathy Hook.  
Bill  is a member of the e-Commerce Team in the Search and Information Research Administration of the USPTO and has been working on the Electronic Filing System for five years since its inception.  

Bill is also a member of the Trilateral/WIPO Standards Working Group that is actively involved in determining the standards for electronic acceptance, processing and exchange of intellectual property documents.  Bill is a primary examiner and examined for ten years in the mechanical arts.  He has a Bachelor of Engineering from the State University of New York at Stony Brook. 

Kathy Hook is the EFS-Web Training Manager and is responsible for creating and delivering all of the online and onsite training for the product. Kathy has extensive experience with EFS-Web, having joined the Electronic Business Center 2002, and serving as the requirements manager/training specialist of the EFS team since 2003.
We’re also pleased to welcome a special guest today, Mr. Carl Oppedahl....

## Welcome to EFS-Web 1.1 Training

**Welcome to EFS-Web 1.1 Training**

**Notes:**
Welcome to the EFS-Web PDF Files and Guidelines training module.

## Today’s Training Agenda

**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

## Overview Information What Can Be Filed?

**New Applications**
- New Utility; Provisional; Design with Color Drawings; 371 National Stage
- 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))
- Request for Continued Examination (RCE)

**Notes:**
EFS Web will allow registered users to file new submissions and follow-on documents. 
The following is a list of submission types that are not allowed to be filed using EFS:

1)                 Correspondence concerning Registration Practice submitted under 37 CFR 1.4(e), which states:
Correspondence requiring a person’s signature and relating to registration practice before the Patent and Trademark Office in patent cases, enrollment and disciplinary investigations, or disciplinary proceedings must be submitted with an original hand written signature personally signed in permanent dark ink or its equivalent by that person. See 37 CFR 1.6(d)(1)

2)                 Certified Copies submitted under 37 CFR 1.4(f), which states:
When a document that is required by statute to be certified must be filed, a copy, including a photocopy or facsimile transmission, of the certification is not acceptable.  See 37 CFR 1.6(d)(2).  An example of such a submission is a certified copy of a foreign patent application filed pursuant to 35 USC 119 or a certified copy of an international application filed pursuant to 35 USC 365.

3)                 A request for reexamination under § 1.510 or §1.913 (See 37 CFR 1.6(d)(5))

4)                 Submissions regarding reissue applications.

5)                 Correspondence to be filed in a patent application subject to a secrecy order under §§ 5.1 through 5.5 of this chapter (See 37 CFR 1.6(d)(6))

6)                 Submissions in contested cases before the Board of Patent Appeals and Interferences, except as the Board may expressly authorize. (See 37 CFR 1.6(d)(9))
7)                 Papers filed in contested cases before the Board of Patent Appeals and Interferences, which are governed by 37 CFR  41.106(f) (See 37 CFR 1.6(d)(3))
8)                 Correspondence filed in connection with a disciplinary proceeding under 37 CFR part 10. (See 37 CFR 1.6(d)(3))
9)                 submissions that are not associated with an application
10)             third party papers under 37 CFR 1.99
11)             protests under 37 CFR 1.291
12)             public use hearing papers under 37 CFR 1.292

IN THE FUTURE, the Office intends to support the following file types.  DO NOT submit these documents now, but keep attuned to announcements in the future.

a.                  Color drawings submitted under §§ 1.81, 1.83 through 1.85, 1.152, 1.165, 1.173, or 1.437 (See 37 CFR 1.6(d)(4)) 
b.                  The filing of an international application for patent (See 37 CFR 1.6(d)(3))
c.                  The filing of a copy of the international application and the basic national fee necessary to enter the national stage, as specified in § 1.495(b). (See 37 CFR 1.6(d)(3))
d.                  Photographs/drawings with varying degrees of black/white/greyscale.

## Overview Information What Can Be Filed?

**Document Description List**
- Nearly 200 document descriptions – Amendments, Petitions, Application Data Sheet, Information Disclosure Statement, PCT, Non-Patent Literature, Foreign References Cited, PG-Pubs, Board of Appeals documents, etc.
**Numerous Fees**
- Almost the complete Patent Fee Schedule

**Notes:**
EFS Web will allow registered users to file new submissions and follow-on documents. 
The following is a list of submission types that are not allowed to be filed using EFS:

1)                 Correspondence concerning Registration Practice submitted under 37 CFR 1.4(e), which states:
Correspondence requiring a person’s signature and relating to registration practice before the Patent and Trademark Office in patent cases, enrollment and disciplinary investigations, or disciplinary proceedings must be submitted with an original hand written signature personally signed in permanent dark ink or its equivalent by that person. See 37 CFR 1.6(d)(1)

2)                 Certified Copies submitted under 37 CFR 1.4(f), which states:
When a document that is required by statute to be certified must be filed, a copy, including a photocopy or facsimile transmission, of the certification is not acceptable.  See 37 CFR 1.6(d)(2).  An example of such a submission is a certified copy of a foreign patent application filed pursuant to 35 USC 119 or a certified copy of an international application filed pursuant to 35 USC 365.

3)                 A request for reexamination under § 1.510 or §1.913 (See 37 CFR 1.6(d)(5))

4)                 Submissions regarding reissue applications.

5)                 Correspondence to be filed in a patent application subject to a secrecy order under §§ 5.1 through 5.5 of this chapter (See 37 CFR 1.6(d)(6))

6)                 Submissions in contested cases before the Board of Patent Appeals and Interferences, except as the Board may expressly authorize. (See 37 CFR 1.6(d)(9))
7)                 Papers filed in contested cases before the Board of Patent Appeals and Interferences, which are governed by 37 CFR  41.106(f) (See 37 CFR 1.6(d)(3))
8)                 Correspondence filed in connection with a disciplinary proceeding under 37 CFR part 10. (See 37 CFR 1.6(d)(3))
9)                 submissions that are not associated with an application
10)             third party papers under 37 CFR 1.99
11)             protests under 37 CFR 1.291
12)             public use hearing papers under 37 CFR 1.292

IN THE FUTURE, the Office intends to support the following file types.  DO NOT submit these documents now, but keep attuned to announcements in the future.

a.                  Color drawings submitted under §§ 1.81, 1.83 through 1.85, 1.152, 1.165, 1.173, or 1.437 (See 37 CFR 1.6(d)(4)) 
b.                  The filing of an international application for patent (See 37 CFR 1.6(d)(3))
c.                  The filing of a copy of the international application and the basic national fee necessary to enter the national stage, as specified in § 1.495(b). (See 37 CFR 1.6(d)(3))
d.                  Photographs/drawings with varying degrees of black/white/greyscale.

## What Cannot be Filed Using EFS-Web 1.1?

**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)**
**Reexamination and Reissue (this includes new and follow-on papers)**
**Secrecy Order Applications and/or Documents **
**Contested Cases at the 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**

**Notes:**
EFS Web will allow registered users to file new submissions and follow-on documents. Most of the documents accepted are directly related to an application.
The following is a list of submission types that are not allowed to be filed using EFS:

1)                 Correspondence concerning Registration Practice submitted under 37 CFR 1.4(e), which states:
Correspondence requiring a person’s signature and relating to registration practice before the Patent and Trademark Office in patent cases, enrollment and disciplinary investigations, or disciplinary proceedings must be submitted with an original hand written signature personally signed in permanent dark ink or its equivalent by that person. See 37 CFR 1.6(d)(1)

2)                 Certified Copies submitted under 37 CFR 1.4(f), which states:
When a document that is required by statute to be certified must be filed, a copy, including a photocopy or facsimile transmission, of the certification is not acceptable.  See 37 CFR 1.6(d)(2).  An example of such a submission is a certified copy of a foreign patent application filed pursuant to 35 USC 119 or a certified copy of an international application filed pursuant to 35 USC 365.

The USPTO is working with the Tri-Lateral partners to establish electronic priority document exchange.

3)                 A request for reexamination under § 1.510 or §1.913 (See 37 CFR 1.6(d)(5))

4)                 Submissions regarding reissue applications.

5)                 Correspondence to be filed in a patent application subject to a secrecy order under §§ 5.1 through 5.5 of this chapter (See 37 CFR 1.6(d)(6))

6)                 Submissions in contested cases before the Board of Patent Appeals and Interferences, except as the Board may expressly authorize. (See 37 CFR 1.6(d)(9))
7)                 Papers filed in contested cases before the Board of Patent Appeals and Interferences, which are governed by 37 CFR  41.106(f) (See 37 CFR 1.6(d)(3))
8)                 Correspondence filed in connection with a disciplinary proceeding under 37 CFR part 10. (See 37 CFR 1.6(d)(3))
9)                 submissions that are not associated with an application
10)             third party papers under 37 CFR 1.99
11)             protests under 37 CFR 1.291
12)             public use hearing papers under 37 CFR 1.292

IN THE FUTURE, the Office intends to support the following file types.  DO NOT submit these documents now, but keep attuned to announcements in the future.

a.                  Color drawings submitted under §§ 1.81, 1.83 through 1.85, 1.152, 1.165, 1.173, or 1.437 (See 37 CFR 1.6(d)(4)) 
b.                  The filing of an international application for patent (See 37 CFR 1.6(d)(3))
c.                  The filing of a copy of the international application and the basic national fee necessary to enter the national stage, as specified in § 1.495(b). (See 37 CFR 1.6(d)(3))
d.                  Photographs/drawings with varying degrees of black/white/greyscale.

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.   Please contact the Electronic Business center if you have any questions at 1-866-217-9197.

## EFS-Web 1.1 – 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

## 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)
- One does NOT need to be an attorney to obtain a *Digital Certificate*

**Notes:**
Unregistered eFilers are those that do not have a digital certificate.  The digital certificate is another name for your PKI certification which grants you access to private PAIR
Replaces USPTO Direct (will be retired no later than March 2007) 

## EFS-Web Functionality

- Online submission of PDF files** **of patent applications and documents
- Online submission of PCT-SAFE .zip files
- Online submission of ASCII text files
- 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 Private PAIR

**Notes:**
Electronic envelope – minimizes impact on customer’s current workflow
All you need to do is create PDF files

## EFS-Web 1.1 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/TXT/ZIP files and a few web screens
_**Secure**_**  **
- EFS-Web submissions are protected through encrypted communications between USPTO and users’ browsers

**Notes:**
Safe- Acknowledgement receipt is your evidence copy.
Simple – Up to 60 25MB files
Secure- Submissions are protected through Digital Certificates according to Federal Guidelines

## Electronic Business Center

**Electronic Business Center**

**Notes:**
Welcome to the EFS-Web PDF Files and Guidelines training module.

## Electronic Business Center(EBC)

_**Customer Number**_

_**PKI Certificates/Digital Certificates**_

_**Electronic Filing System**_

_**Patent Application Information Retrieval**_

**Electronic Business Center****(EBC)**

**Notes:**
One stop calling center that can assist you with EFS-Web, PAIR and other eCommerce issues.

## 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**

**Notes:**
Attorney needs digital certificate to access Private PAIR

## Obtaining a Digital Certificate

**User downloads**
**and **_***fills out***__** **_
**Certificate Action Form**

**User gets the Certificate Action**
**Form **_***notarized***_

**Certificate Action Form **_***mailed/overnighted***_** ****to USPTO’s Electronic****Business Center**

**Digital Certificate is **
**typically issued 3-4 days **
**after the EBC receives the form**

**http://www.uspto.gov/ebc/portal/infocustomernumber.htm**

**Notes:**
3 to 4 days after the EBC receives the Certificate Action Form, an EBC Customer Service Representative (CSR) will e-mail your authorization codes and call you with the reference codes.

We encourage everyone to have a digital certificate, but it is not required.
You will gain more functionality than an unregistered user.

## 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 email address
- _Upcoming Enhancements_
- Solution for corporate sharing of workload related to patent filing and               viewing

- See EFS-Web Legal Framework for more information

**Notes:**
Research 1) and validate that second option is true
You can have oaths and declarations signed and then scan them in as PDF files or use the electronic signature.

## 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 1-866-217-9197

## 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:   EBC@uspto.gov**

**Electronic Business Center ****(EBC)**

## 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

- 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

**System Requirements**

**Contact your IT department for additional assistance**

**Supported Browsers:**
- Internet Explorer 5.5, 6.0
- Netscape Navigator 8.1
- 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

**Notes:**
This is a wider range of supported systems compared to our previous systems.

## PDF Creation

## About PDF Technology

**PDF (Portable Document Format) is an 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

**Notes:**
PDF is an open file format specification that is not owned by Adobe. 
PDF is the de facto standard for secure and reliable distribution and exchange of electronic documents and forms around the world.
Text-based PDF files have metadata and you can copy/search/paste the text
Image-based PDF files are a snapshot of a document. Scanning usually creates image-based PDF files. The text is no longer searchable. 

## About PDF Files

**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**

**Notes:**
PDF Writers certified by USPTO to work with EFS-Web include: Adobe Professional, Open Office, Easy Office, Cute PDF, PDF Redirect, PDF 995, and Primo 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”
- Above 14” x 14” will be rejected
- 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.

**Notes:**
Document Formats that are acceptable are:
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 used in EFS-Web must use versions 1.2 – 1.6 of the PDF Specification
The latest version of Abode Acrobat Professional 7 will create version 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.
Embedded fonts example: Mathematical symbols that are used but may not be defined fonts at the USPTO. Therefore, they need to be embedded so that the USPTO can render the fonts correctly.

## 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

**Notes:**
Guidelines about Object Content
These are advanced features 
Multipage objects are items such as a picture that spans 2 pages long without a break
Commenting and reviewing features will be lost when it is made into a TIF
Bookmarks within the PDF will not work properly

## 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

**Notes:**
Instructions on using security features or embedded code in PDF files:  No password protected or encrypted PDF files are permitted, as the EFS-Web PKI infrastructure will handle encryption.  All PDF document must be free of executables, worms, viruses or other malicious content.  Files with malicious content will be deleted.

## Creating PDF files

**Three ways to create 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

**Notes:**
What about items that need wet signatures?
You can have oaths and declarations signed and then scan them in as PDF files or use the electronic signature.

## 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***

**Notes:**
Without brackets
Not path, just file name

## Adobe Job Options

## 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**_

**Notes:**
Does this work for Convert too? Or only Printing to PDF

## PDF Validation

## Validation Warnings

**Page size is not 8 1⁄2 by 11 inches or A4**
**Non-licensed fonts**
**An ADS, IDS, RCE or AE is attached that is not an USPTO fillable form**

**Notes:**
Warnings: still lets you proceed
Error: stops submitting
We will discuss the fonts (licensed and embedded) in the following slides
ADS and IDS allow autoloading of data into our backend system
1.1 of the Adobe Standard
Your protection
Less errors and resubmitting
Explain KEY

## Validation Errors

**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 25MB**
**Page size above 14 x 14**
**Petition under 37 CFR 1.378(c) has missing / incorrect data**

## EFS-Web 1.1 Overview

## How EFS-Web 1.1 Works

- User
- Accesses USPTO
- Portal

- Choose
- Filing
- Type

**New Application**
**Design**
**Utility**
**Provisional**
**371**
**International Application**
**Existing Application**
**Pre-Grant Publication**
**Petition**
**My Workplace**
**Saved Submissions**
**Last 20 EFS receipts**

- Choose
- Filing
- Type

**New Application**
**Design**
**Utility**
**Provisional**
**371**
**International Application**
**Existing Application**
**Petition**

- Pay then
- Submit

**How EFS-Web 1.1 Works**

**Notes:**
Registered user means that you have a PKI certificate issued by the USPTO
Fee paying is optional
Submit is where you actually give your application/papers to the USPTO

## EFS-Web 1.1 Demo

**EFS-Web 1.1 Demo**

**Notes:**
Welcome to the EFS-Web PDF Files and Guidelines training module.

## 
 Registered eFiler
Filing
Follow-on filing
Multi-doc Amendment

Review submission in Private PAIR

** ****Registered eFiler**
**Filing**
- Follow-on filing
- Multi-doc Amendment
**Review submission in Private PAIR**

**Demo Scenarios**

**Notes:**
Unregistered – Spec, ABST, CLM (EFS PROJECTS\EFS 5.3 WEB\PDF Samples for testing\Web Samples - delivered100705\New Utility\Test Sample 1)
Registered – Multi – Amendment, petition (use sample 47 – 512 pages – ETC shared drive)
Will not be showing a fee payment because of Federal Audit requirements for Production systems

## 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
- Contact the Patent Electronic Business Center if you have problems viewing your submissions receipt

**Notes:**
Any other legal notes?

## 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

**Notes:**
Any other legal notes?
- Oath/Declaration/Fees can be added the same day without penalty if they were previously omitted (not if they were submitted wrong)
Non-publication request cannot be added later that day. User will need to make a new application with the non-pub request and file express abandonment for the original one that was wrong.
Drawings/Specification may be supplied as a preliminary amendment within the same day of the original filings if they were omitted accidentally. BUT if the wrong drawings/spec were filed with the original application, you may need to abandon and file a new application.
Claims may be supplied as a preliminary amendment on the same day of the original filings if they were omitted accidentally.

## EFS-Web 1.1 Indexing

**EFS-Web 1.1 Indexing**

**Notes:**
Welcome to the EFS-Web PDF Files and Guidelines training module.

## 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
- 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

## 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

## 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_

## EFS-Web 1.1 Nuances

**EFS-Web 1.1 Nuances**

**Notes:**
Welcome to the EFS-Web PDF Files and Guidelines training module.

## 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

- 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

**Navigation**

**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.

## PDF Fillable Forms

## PDF Fillable Form Features

**PDF Fillable Form Features**

**Save**** form electronically **
**with data embedded**

**Print**** forms with data **
**entered by the user**

**Import**** data in XML format**
**from multiple sources**

**Export**** data in XML format to document **
**management systems and other databases**

**Re-open**** the saved form **
**to modify existing data**

**Dynamic ****capability**
**to add data**

**Enhanced ****to**
**interface with EFS-Web**

**Adobe Reader ****(Version 7.0.8 or 7.0.9) required.  Version 8.0 is not yet compatible with EFS-Web.**

**Notes:**
You may take out the ADS/IDS handouts from your folder.
Starting from the top, a form fillable required no special software.  All you need is the latest version of Adobe Reader and this is freely available from Adobe.  
The fillable form is dynamic.  For example, you may add more than one inventor by clicking the add button and the form will grow.
You can rename and save the form with the data entered. This also saves time reentering data and minimizes mistakes. 
You can import and export data to/from the forms.  The imported/exported data can be managed from various sources including document management systems. 
You can re-open a saved form to modify the data embedded.  
You can print the forms with the data.  
Finally, the forms are able to interface with internal USPTO systems to extract or pull the data exactly as you entered.  This will minimize Correction of Filing Receipt sent to OIPE or bib data changes in private PAIR.

## 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

**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
- Can be used in lieu of Provisional Cover Sheet

**New Forms Available Now**
- 	Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an 	Expired Patent (37CFR 1.378(c)) – (10/14/06)
- 	Request for Continuing Examination (RCE) – (10/14/06)
-     Petition to Make Special under Accelerated Examination program – (8/26/06)

**Notes:**
Two form fillables that have been enabled to work with EFS Web are the IDS and ADS.  
The IDS is used to disclose any prior art that is most relevant to the claimed invention.
The ADS is used to list the bibliographic data into one document. 
You can use any form with EFS Web not just these two.  You can create your own form or use the legacy forms located at USPTO.Gov. 
The ADS is an entirely new form.  There has never been a USPTO supplied ADS. You most likely created your own form. 
In the Fall we are looking to add to more forms.   Pet to accept unintentionally delayed payment and RCE.

## Adobe Reader version 7.0.8 or 7.0.9 required.  Version 8.0 is not yet compatible with EFS-Web.
Title of Invention and Inventor Name character limitation in PALM
Special characters such as ©, ®, TM, ß, ë, μ, Ü, ñ, etc can be entered but translation errors may occur
Version 2.0 of ALL fillable forms MUST be used
New forms can be found at http://www.uspto.gov/ebc/portal/forms.htm
Version number found at lower left hand corner of each page

**Form Nuances**

**Adobe Reader version 7.0.8 or 7.0.9 required.  Version 8.0 is not yet compatible with EFS-Web.**
**Title of Invention and Inventor Name character limitation in PALM**
- Special characters such as ©, ®, TM, ß, ë, μ, Ü, ñ, etc can be entered but translation errors may occur
**Version 2.0 of ALL fillable forms MUST be used**
- New forms can be found at _[http://www.uspto.gov/ebc/portal/forms.htm](http://www.uspto.gov/ebc/portal/forms.htm)_
- Version number found at lower left hand corner of each page

**Notes:**
The version of the form can be located on the lower left hand corner of the page

It is important to use the most updated version of Adobe, preferably Reader 7.0.7 to get best performance.  Anything less than 7.0 will not work 
Database issue, not form issue.

For the fields Title of Invention and all Inventor names you are able to enter special characters such as TM, ©, ®, μ, ß in the form and also on the Application data screen in EFS-Web but there is a translation issue in our backend systems in regard to PALM.  On the initial filing, the official record is correct in IFW and also on the acknowledgement receipt. 
When filing by paper, all data was inputted by hand and the database that converts the keystroke into the special characters do not correlate to the UTF-8 standard for the special characters when inputted through EFS-Web.  Thus the Title of Invention and Inventor names on the subsequent follow on submissions and also when viewing in PAIR may have different characters than what was initially filed.  

The USPTO is working to correct this but this will require replacing multiple databases and this will take time.
  Correction methods: 
Submit traditional change request
Bibliographic Change Request through private PAIR 
Correction of Filing Receipt through OIPE

Users sometimes fail to correctly fill out the Domestic Priority section of the ADS and the typical problem is not selecting the Continuity Type or NOT entering an Application Number after the initial continuity statement.  The initial row refers to ‘This Application’ and so the Application Number field is left empty, whereas subsequent rows refer to parent applications.  When incorrectly filled out, the data will not auto load into USPTO backend systems.  To the eFiler, it looks as if the submission failed to load because it never shows up in private PAIR.  The PEBC can see if the submission came in or not.  When this situation occurs the submission must be manually entered in OIPE.

The same scenario occurs if an additional applicant section is selected but no data is entered.

This is not a form issue but a transfer of data to backend systems.  The USPTO is working to resolve this in a future release.

## 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 
Legacy forms located at:
http://www.uspto.gov/web/forms/index.html

User-created fillable form PDF files and
User-modified USPTO fillable form PDF files 
User data will be accepted 
Data in individual fields will not auto-load into USPTO systems

**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
- Legacy forms located at:
- _[http://www.uspto.gov/web/forms/index.html](http://www.uspto.gov/web/forms/index.html)_
- User-created fillable form PDF files and
- User-modified USPTO fillable form PDF files
- User data will be accepted
- Data in individual fields will *not* auto-load into USPTO systems

**Notes:**
You may still use our legacy forms from the USPTO website.  The data will be hand keyed into USPTO systems because the received file will be a PDF image file or static file.  
This is also true if you have created your own fillable form.  
If you choose to modify our forms, you may do so, but properties within the PDF will notify us that is it modified. At that point, the data will not get automatically loaded into the backend systems.

## PDF Fillable Forms – Client and Server Validation

- Checks for data type, field length, etc
- Checks that mandatory fields are filled so form will auto-load into USPTO Systems
- A partial load will take place otherwise** **
- _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 under 37 CFR 1.378(c) form has missing or invalid data
- Petition will not auto grant

**PDF Fillable Forms – ****Client and Server Validation**

**Notes:**
There are 2 types of validation, client validation which is done at the form and server validation which is done at upload on the server.  
Client validation checks at the field level of the form.  It checks for data type such as numeric versus alpha, it can check for field length and also if mandatory fields were entered.  
It also checks to see if mandatory fields were entered.  If the mandatory fields were not entered, a warning message is given to the user. Mandatory fields are defined as those fields that are required for the form to be auto loaded into USPTO backend systems.
Server validation checks if the attached form is a USPTO fillable form, a legacy form or user a created form. The IDS mandatory fields are U.S. Patent and U.S. Publication number.  The ADS mandatory fields are the Title of Invention, first and last name if the First Name Inventor and the Correspondence address which will be a customer number or the Name one, address one, city and country fields of the correspondence address.
The form can still be submitted without the mandatory data embedded in the form but the data will not be auto loaded.  The data will be manually entered by OIPE operators.

## Technical Requirements

- Update to version 7.0.8 or 7.0.9 (required)
- Version 8.0 does not currently work with EFS-Web
- 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

## EFS-Web 1.1.1

**Maintenance Release tentatively scheduled for January 27th **
- Fee code 8007 PCT Priority Document added
- Prevent 90/95 series applications from being submitted
- Block Petition under 37 CFR 1.378(c) form from being submitted as a follow on
- Other minor screen changes

**Notes:**
Our goal for this event is to advise existing EFS-Web filers about the enhancements that 1.1 brings to EFS-Web.  If you have not yet begun filing with EFS-Web, or have not received EFS-Web training yet, please visit one of our EFS-Web basic training events to gain a thorough knowledge of this filing tool.

## Priority Document Exchange

**Priority Document Exchange**

**Notes:**
Welcome to the EFS-Web PDF Files and Guidelines training module.

## Priority Document Exchange

- Provides for the electronic transmission of priority documents between participating Intellectual Property Offices
**Priority Document Exchange with EPO (European Patent Office) began January 16, 2007**
**Priority Document Exchange with JPO (Japanese Patent Office) to begin summer of 2007**
**Free of charge – No fees required**
**Request can be submitted via **
- EFS-Web, Fax, or Mail

**Priority Document Exchange**

**Notes:**
There are 2 types of validation, client validation which is done at the form and server validation which is done at upload on the server.  
Client validation checks at the field level of the form.  It checks for data type such as numeric versus alpha, it can check for field length and also if mandatory fields were entered.  
It also checks to see if mandatory fields were entered.  If the mandatory fields were not entered, a warning message is given to the user. Mandatory fields are defined as those fields that are required for the form to be auto loaded into USPTO backend systems.
Server validation checks if the attached form is a USPTO fillable form, a legacy form or user a created form. The IDS mandatory fields are U.S. Patent and U.S. Publication number.  The ADS mandatory fields are the Title of Invention, first and last name if the First Name Inventor and the Correspondence address which will be a customer number or the Name one, address one, city and country fields of the correspondence address.
The form can still be submitted without the mandatory data embedded in the form but the data will not be auto loaded.  The data will be manually entered by OIPE operators.

## Retrieving EPO Priority  Documents by the USPTO

- Use form PTO/SB38
**Form and instructions are available at** _[http://www.uspto.gov/web/forms](http://www.uspto.gov/web/forms)__ _
**Fulfills requirement of 37 CFR 1.55(a)(2)-(3)**
**Monitor Private PAIR to view priority documents that have been successfully retrieved**
- If retrieval not successful, a notice will be mailed

**Retrieving EPO Priority  Documents by the USPTO**

**Notes:**
There are 2 types of validation, client validation which is done at the form and server validation which is done at upload on the server.  
Client validation checks at the field level of the form.  It checks for data type such as numeric versus alpha, it can check for field length and also if mandatory fields were entered.  
It also checks to see if mandatory fields were entered.  If the mandatory fields were not entered, a warning message is given to the user. Mandatory fields are defined as those fields that are required for the form to be auto loaded into USPTO backend systems.
Server validation checks if the attached form is a USPTO fillable form, a legacy form or user a created form. The IDS mandatory fields are U.S. Patent and U.S. Publication number.  The ADS mandatory fields are the Title of Invention, first and last name if the First Name Inventor and the Correspondence address which will be a customer number or the Name one, address one, city and country fields of the correspondence address.
The form can still be submitted without the mandatory data embedded in the form but the data will not be auto loaded.  The data will be manually entered by OIPE operators.

## Releasing USPTO Priority  Documents to the EPO

- Use form PTO/SB39
**Form and instructions are available at** _[http://www.uspto.gov/web/forms](http://www.uspto.gov/web/forms)__ _
**EPO Official Journal will publish specific instructions**
**USPTO will release priority documents if:**
- The application has been published
- OR
- The applicant has submitted authorization and application has passed national security review

**Releasing USPTO Priority  Documents to the EPO**

**Notes:**
There are 2 types of validation, client validation which is done at the form and server validation which is done at upload on the server.  
Client validation checks at the field level of the form.  It checks for data type such as numeric versus alpha, it can check for field length and also if mandatory fields were entered.  
It also checks to see if mandatory fields were entered.  If the mandatory fields were not entered, a warning message is given to the user. Mandatory fields are defined as those fields that are required for the form to be auto loaded into USPTO backend systems.
Server validation checks if the attached form is a USPTO fillable form, a legacy form or user a created form. The IDS mandatory fields are U.S. Patent and U.S. Publication number.  The ADS mandatory fields are the Title of Invention, first and last name if the First Name Inventor and the Correspondence address which will be a customer number or the Name one, address one, city and country fields of the correspondence address.
The form can still be submitted without the mandatory data embedded in the form but the data will not be auto loaded.  The data will be manually entered by OIPE operators.

## How to submit PDX Request

**When requesting EPO priority documents for USPTO applications**
- Use form PTO/SB38
- Select ‘Request by USPTO to retrieve priority documents’ in EFS-Web
**When requesting USPTO priority documents for EPO applications**
- Use form PTO/SB39
- Select ‘Authorization to Access application by trilateral office’ in
- 	EFS-Web
**Request can be faxed to the Central Fax number (571-273-8300)**
**Request can be mailed to:**
- Commissioner of Patents
- P.O. Box 1450
- Alexandria VA 22313-1450

**How to submit PDX Request**

**Notes:**
There are 2 types of validation, client validation which is done at the form and server validation which is done at upload on the server.  
Client validation checks at the field level of the form.  It checks for data type such as numeric versus alpha, it can check for field length and also if mandatory fields were entered.  
It also checks to see if mandatory fields were entered.  If the mandatory fields were not entered, a warning message is given to the user. Mandatory fields are defined as those fields that are required for the form to be auto loaded into USPTO backend systems.
Server validation checks if the attached form is a USPTO fillable form, a legacy form or user a created form. The IDS mandatory fields are U.S. Patent and U.S. Publication number.  The ADS mandatory fields are the Title of Invention, first and last name if the First Name Inventor and the Correspondence address which will be a customer number or the Name one, address one, city and country fields of the correspondence address.
The form can still be submitted without the mandatory data embedded in the form but the data will not be auto loaded.  The data will be manually entered by OIPE operators.

## Proposed Complex Work Unit (CWU) Pilot Program

## CWU Pilot Program

**	**Applications that contain Complex Work Units (CWUs) such as chemical structures, mathematical formulae, large tables, and 3-D protein crystal structures often add significant complexity, cost, and time to examination and publication.
- 	As part of the move towards additional eCommerce and e-filing initiatives, the USPTO plans to announce a pilot program for submitting CWUs in electronic format in the _***Spring of 2007***_.
**Purpose:**
- 	Investigate filing practice options for CWUs
**Goal:**
- 	Implement filing practice changes for CWUs
- Expand acceptable formats
- Assist examination
- Streamline publication
- Preliminary questions and comments can be sent to:
- _[CWUPilotSupport@uspto.gov](mailto:CWUPilotSupport@uspto.gov)_

**Notes:**
First, it’s important to note that today’s webcast is a two-part event, with the first segment providing an overview of EFS-Web and the second segment providing in-depth training on how to use the product. The first segment will last approximately one-half hour. At the conclusion of the overview, we will then transition immediately into a one and a half-hour training session.

During both of these segments, you will have an opportunity to ask questions via the “Email the Presenter” button on the lower left side of your screen. We will collect all questions until the end of the presentation and we will aggregate similar questions in the interest of time.

Please note that ALL registered attendees WILL receive a copy of today’s presentation within 24 hours of the conclusion of today’s program. 

Most importantly, today’s webcast is being recorded and will be available for playback within 24 hours of the conclusion of the event. Now that we’ve covered some important information that can enhance your web seminar experience, we’d like to start our webcast...

## 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:   EBC@uspto.gov**

**Electronic Business Center ****(EBC)**

**Notes:**
What other things should we know about Digital Certificates?

## Thank you for attending