# Presentation: 200123

## The United States 

**Patent and Trademark Office**
**Presents **
**EFS-Web 1.1 Advanced 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

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

**Today’s Presenters**

**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....

## Agenda

**EFS-Web 1.1 Training**
- Recap of EFS-Web workflow
- What’s new in EFS-Web 1.1
- Live Demo
- Filing of an International Application to US-RO under the Patent Cooperation Treaty
- EFS-Web 1.1 Screenshots
- New Petition - Unintentionally Delayed Payment of a Maintenance Fee
- Pre-Grant Publication Screens
- Form Requirements
- Overview Information

## 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

## 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, ADS, IDS, PCT, NPL, 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

## New Screen:Registered Filer Follow-On My Workplace

## Registered Filer Follow-on Papers and My Workplace

**Registered Filer Follow-on Papers *****and***** My Workplace**

**Petition and Pre-Grant Publication filings**

**My Workplace allows Viewing of *****Saved Submission Packages and Last 20 Receipts***

**When presented with New or Existing application, choose *****Existing Application/Patent***

## International PCT Filings

## PCT Filing Overview

**Accesses USPTO**
**Portal**

**Choose **
**PCT Filing**
**Type**

**Attach PCT-SAFE**
** ****.ZIP File**
**Form RO 101**

**Attach .PDF File**

-    **and/or**

**Review Attached**
**Files**

**Calculate Fees**
**(Optional)**

**Submit and Pay**
**Receive PCT number**
**immediately**

**PCT Filing Overview**

**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
Pdf version of RO101
Fee sheet in .zip?
Discuss WIPO discount 

## EFS-Web Live DemoPCT International Filing

## EFS-Web 1.1 New Screens – Pre-Grant Publication

## Pre-Grant PublicationRegistered e-Filer

**Enter Application Number/Confirmation number and type of Pre-Grant filing**

**Select Existing application / patent**

**Select Pre-Grant Publication under 37 CFR 1.211 to 1.221**

## Pre-Grant PublicationAttach

**Disclaimer explaining what needs to be attached to submit a PG Pub**

## Pre-Grant PublicationReview

**Required Attachments**

## Pre-Grant PublicationCalculate Fees

**Fees *****automatically assigned***** depending upon Filing type selection on Login screen**

## Pre-Grant PublicationConfirm/Pay

**MUST pay before submitting**

**Review of all items**

## Pre-Grant PublicationAcknowledgement Receipt

**Time and Date Stamp in EASTERN time**

## New Fillable Forms

## EFS-Web 1.1 Form Fillable PDF’s

**All forms ****MUST**** be version 2.0 **
**and **
**require Adobe Reader 7.0.8 for saving and attaching to EFS-Web**
**How to check the version: Select Help-> About Adobe Reader**

**EFS-Web 1.1 Form Fillable PDF’s**

**New Forms Require Adobe Reader 7.0.8 **
- Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37CFR 1.378(c))
- Request for Continuing Examination (RCE)
- Accelerated Examination
**Existing Forms need to be downloaded **_**AGAIN**_
- Information Disclosure Statement (IDS – 37 CFR 1.97 & 1.98)
- Application Data Sheet (ADS – 37 CFR 1.76)

**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.

## New Fillable Form – Petition under 37 CFR 1.378(c)

## Petition to Grant Unintentionally Delayed Payment of Maintenance Fees under 37CFR 1.387(c)

**Data to fill out form is echoed back by EFS-Web**
**Entity Status and Fee selection determines fee calculation page**
**Must be filed in Petition process, not as regular follow-on**
**Provides **_***immediate***_** grant of petition (subject to business rules, e.g. expiration is not beyond 24 months, previous fees have been paid, etc.)**

## New Fillable Form –Request for Continued Examination (RCE)

## Request for Continued Examination (RCE)

**All USPTO Form Fillables Must Be Submitted Using Latest Version of Adobe Reader (Free)**
_***EFS-Web 1.1 Will Only Accept Version 2.0 of Form Fillables***_** **
**Data will be manually processed**
**Filed as Existing application submission**

## New Fillable Form –Accelerated Examination

## Accelerated Examination

**Highly Suggested to use this Form when Submitting Under the Accelerated Examination Program**
- OIPE is trained to look for this form
**Separate Accelerated Examination Flow in Next Release of EFS-Web**
**Data will be manually processed**
**Filed with new Utility or design application only**

## EFS-Web 1.1 New Screens – Petition under 37 CFR 1.378(c)

## Petition

**Application Number and Patent Number ****REQUIRED**

**Select Petition under 37 CFR 1.378(c) ****REQUIRED**

**Select Existing application/patent**

## PetitionAttach

**Legal language explaining Petition requirements.  **_**Only**_** the Petition itself can be attached**

**Document Description is automatically selected**

## PetitionCalculate Fees

**Petition****Calculate Fees**

**Fees based upon what is selected on the form and *****actually***** due**

## PetitionPay/Confirm

**Petition****Pay/Confirm**

**MUST pay before submitting**

**Maintenance Fee History will show what has been paid previously**

## PetitionPay/Confirm

**Time and Date Stamp in EASTERN time**

## PetitionAuto-Grant

**Petition is *****automatically granted *****and is now in IFW**

## Overview Information Indexing Resources

**Complete, sortable 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
**Complete EFS-Web Assistance:**
- http://www.uspto.gov/ebc/efs_help.html

## Important User Information

**e-PAVE was retired on ****November 1****st**** **

## 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
- Paying with American Express and entering incorrect data twice will cause a lockout
- Add language for Utility option on main screen (i.e., Utility other than 35 USC 371 filing)
- Remove document description for Petition under 37 CFR 1.378(c) in Existing Application flow

**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.

## 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...

## How To Contact 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:   EBC@uspto.gov**

## Thank you for attending