# Presentation: 712907

## The United States 

**Patent and Trademark Office**
**Presents **
**EFS-Web Training**** 1.4**

**Notes:**
Welcome to the United States Patent and Trademark Office’s EFS-Web 1.4 Training.

## 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.

- 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.

**What is EFS-Web?**

**Notes:**
This training will provide you with an overview of the United States Patent and Trademark Office's web-based Electronic Filing System, also known as EFS-Web.  

EFS-Web is used for patent correspondence, that is, new patent applications and follow-on correspondence.  Anyone with access to the Internet can file a patent application and follow-on correspondence by submitting documents in a portable document file or PDF format.

As you go through this training you will also learn about the other intricacies that make up the EFS-Web system.

## 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.

**Notes:**
EFS-Web has many functions; for instance, 

EFS-Web utilizes standard web-based screens and prompts to enable you to submit PDF files of patent applications, PCT-SAFE .zip files for PCT applications, and text files for items related to Complex Work Units directly to the USPTO.  
EFS-Web also has the ability to validate the format of your PDF files and data before you submit to the USPTO.   
In addition, 

EFS-Web accepts online payment of your patent application filing fees.  However, you will have to pay your assignments and maintenance fees through other e-Commerce systems.

EFS-Web is integrated with Private and Public PAIR, which is the Patent Application Information Retrieval system. By becoming a Registered e-Filer, EFS-Web submissions are available for viewing in Private PAIR within hours instead of days or weeks. 

## EFS-Web Benefits

- EFS-Web is safe.
- EFS-Web is simple.
- EFS-Web is secure.

**Notes:**
 There are many benefits in using EFS-Web to file your patent applications.  EFS-Web is safe, simple, and secure. 
Filings made with EFS-Web provide you with the same legal protection as paper-based filings. After the correspondence is officially submitted to the USPTO, you will receive a confirmation of the submission through an electronic Acknowledgement Receipt, which is the legal equivalent of a postcard receipt. The Acknowledgement Receipt contains a “receipt date” with the time the correspondence was received at the USPTO, which assures you that your submission was received by the USPTO on a particular day. You will have the ability to print or save the receipt for your records, affirming your “receipt date.”

Even very large and complex patent applications can be submitted by attaching your files and filling out a few simple web screens. 

EFS-Web submissions are protected using Transport Layer Security or Secure Socket Layer protocol, which are established e-Commerce Internet Security Standards. You can think of it as an electronic sealed envelope being sent to the USPTO. 

## 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.

**Notes:**
When you go into the EFS-Web system, there are two applicant filing types to choose from: Unregistered Filer and Registered Filer.

An unregistered user is one who files without a Digital Certificate. Anyone who visits EFS-Web can submit patent applications as an unregistered filer.

An unregistered user can file a new application and can only submit a Petition under 37 CFR 1.378(c), also known as a Petition to Accept Unintentionally Delayed Payment of Maintenance Fees in an Expired Patent form. Additionally, an unregistered user can not save their application packages before they are submitted to the USPTO.

A Customer Number is not required to file a patent application using EFS-Web. A correspondence address may be provided in lieu of a Customer Number.

As a registered user you receive additional benefits from the EFS-Web system.  You can file follow-on papers for any existing application.  You also have the ability to save your application package before you submit it to the USPTO. This will be highlighted later in the presentation.

A registered user is a patent practitioner or an independent inventor who has a Digital Certificate. A Digital Certificate is used to verify that a user is who they claim to be. 

Registering is for a Digital Certificate is easy and can be done by submitting paper forms to the Electronic Business Center, also known as the EBC, which will then issue a Digital Certificate that authenticates your identity. We will go into the process of obtaining a Digital Certificate later in the presentation.

## 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)

**Notes:**
A user can file New Applications which include: Accelerated Exam, Design with color drawings, Reissue, Provisional, Request for Reexamination, and 371 National Stage applications.  You can also file international applications for filing in the U.S. Receiving Office. Newly added to the list are: Accelerated Exam, Design Reissue, Utility Reissue, and Request for Reexamination.

Additionally, an applicant can file follow-on documents for existing applications.  
However, registered e-Filers have more functionality with the EFS-Web system and are able to file a Pre-Grant Publication Request under 37 CFR 1.211-1.221, a Petition to Accept Unintentionally Delayed Payment of Maintenance Fees in an Expired Patent (37 CFR 1.378(c)), or a Request for Continued Examination, also known as a RCE.

An unregistered user can only file a Petition To Accept Unintentionally Delayed Payment of Maintenance Fees as a follow-on filing. 

## 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.

**Notes:**
The following is a list of things that CANNOT be filed using EFS-Web.

One of these items is the Credit Card Authorization Form PTO-2038.  If this form is filed through EFS Web, it will be viewable in Public PAIR when and if the application is published.  Therefore, your credit card information will be available for public viewing. 

 Assignments and maintenance fees are submitted through other e-Commerce systems.  If you want to submit an assignment, you will use a system called ePas, and Private PAIR can be used to pay your maintenance fees. You can also link to both of these e-Commerce systems on the HTML version of your Acknowledgement Receipt on EFS-Web.

 Plant Applications currently CANNOT be filed through EFS-Web because the drawings or photographs must faithfully present the appearance of the plant.  EFS-Web can’t guarantee that this information will translate properly when submitted.

 The remaining items are either patent driven or related to litigation proceedings.  

## Supported Operating Systems: 
Windows 2000, XP
Macintosh OSX 10.4 
Linux RedHat 9.0 

Standard e-Commerce 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 e-Commerce 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
- 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.

**Notes:**
Compared to our previous electronic filing system, e-Pav, EFS Web is accessible on a much wider range of supported operating systems.

 If you can buy a book or do banking on-line, you can use EFS-Web.

Some supported operating systems for EFS-Web include Windows 2000, Macintosh OS X 10.4 -- also known as Tiger, and Linux RedHat.

The supported browsers are Internet Explorer, Netscape Navigator, Apple Safari, and Mozilla 1.7.3 (for Linux RedHat 9.0), not to be confused with Mozilla Fire Fox.

Microsoft Vista and Internet Explorer 7.0 have not been fully tested; however, users have been successful using it with EFS-Web.  Testing has not been completed as of the present time.

 If you have the supported operating systems and browsers and are having difficulty, please contact your IT department.  

## 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
- 3D Protein Crystals
- Mathematical Formulae
- Chemical Formulae.

**Notes:**
The USPTO held focus groups with its customers, and they requested documents be accepted in the PDF file format. The PDF file format was also chosen because it’s considered a universal file format that doesn’t sacrifice the integrity of the file during transmission.

EFS-Web will also accept zip files only when using PCT-SAFE in PCT-EASY Mode for PCT filings and for follow-on documents. 
 Text files are accepted for items related to Complex Work Units such as bio-sequence listings, computer program listings, or mega tables. Most recently, e-Filers will be able to upload one sequence listing (txt) file up to 100 MB per submission.  The sequence listing file must be uploaded separately from other types of files.  EFS-Web will also display a warning if the sequence listing does not conform to the ST .24 or ST . 25 format.

## How EFS-Web Works

- User
- Accesses the USPTO
- Portal

- Choose
- Filing
- Type

- Choose
- Filing
- Type

- Pay then
- Submit

**How EFS-Web Works**

**New Application**
**Accelerated Exam**
**Design**
**Reissue (Design and Utility)**
**Utility**
**Reexam**
**Provisional**
**371**
**International Application**
**Existing Application**
**Petition**

**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**

**Notes:**
This diagram is a snapshot of how EFS-Web works.

A user will access EFS-Web via the USPTO Web site.  The user will then select if they are a registered or unregistered filer and choose their filing type. Registered and unregistered applicants may file new utility, provisional, design, National Stage applications under 35 USC 371, text files (sequence listing, computer listings, mega tables), and international applications for filing in the U.S. Receiving Office.  Registered applicants may also file follow-on documents and/or fees for previously filed applications, a Petition under 37 CFR 1.378(c), and Pre-grant publications.

As the user, you will then enter application data for new applications only.  You will then attach your PDF, Zip, or Text files.  Next, you will click on upload and validate.  The system will check the format, not content of your documents.

Afterwards, you can select and calculate your fees.  Once you click on submit, you can decide to pay now or pay later.  Remember, if you decide to pay later, you will incur an additional fee if you don’t pay by midnight Eastern Time on the day of your filing.  If you are filing a Petition or PG Pub, you are required to pay before you submit to the USPTO.

You will then choose your payment options and pay your fees.  Next, you will receive your Acknowledgement Receipt, which is equivalent to a postcard.

If you are a registered filer, you will be able to view your submission in Private PAIR within an hour of your submission.

## 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.**

**Notes:**
Anyone can have a Customer Number; however, it not required to file a patent application using EFS-Web.  
The Customer Number can be used for up to three functions in any particular application:

One is the correspondence address.  The USPTO sends outgoing mail to the applicant using the correspondence address. This is the most common use for a Customer Number.A correspondence address may be provided in lieu of a Customer Number, however applications that are not filed using a Customer Number CANNOT be viewed in Private PAIR.

Next, a Customer Number can be used to identify the Power of Attorney, which can be a single registered practitioner or a group of patent practitioners that represent the applicant or assignee in patent-related matters to the USPTO rather than having the applicant file as a pro se.

Lastly, the Customer Number can be used to indicate the Maintenance Fee Address. Once the application has been issued or granted a patent number, maintenance fees are sent to the assigned address to keep the patent enforceable.

A law firm can manage all of their clients by having multiple Customer Numbers.  This allows the law firm to keep track of their various clients.

An attorney may view applications in Private PAIR if his/her registration number is associated with the Customer Number 
An applicant can also view application information in Private PAIR provided the Customer Number is linked to the Digital Certificate (also known as the PKI). 
When a user has a Customer Number, it allows them to change their address for multiple applications by submitting only one form.

If you would like to obtain a Customer Number, the Request for Customer Number form, also known as the SB125, can be found on the USPTO Web site. 	-It can be mailed or faxed to the EBC, and their contact information will be provided to you later in the presentation. 
	-Once the EBC receives your form, it takes up to a week to process, and the number will be mailed to the address assigned to the Customer Number.

## 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 the USPTO’s Electronic****Business Center**

**Digital Certificate is **
**typically issued within a week after the EBC receives the form**

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

**Notes:**
A Digital Certificate also known as a Public Key Infrastructure (PKI) certificate is issued by the USPTO to registered patent attorneys, registered patent agents, independent inventors, and limited recognition practitioners.

A Digital Certificate is used to authenticate identity to the USPTO server. 

Applicants with a Digital Certificate can:
 File via EFS-Web and save submissions
 Access Private PAIR when their Digital Certificate and Customer Number is associated to an application.

Obtaining a Digital Certificate is easy, and the USPTO does not have any fees associated with obtaining one.

A user can download a Certificate Action Form from the USPTO’s Web site, which is listed on the screen for you. 
You will then get the form notarized.   
You can mail it or overnight it to the EBC.  
Within a week, you will receive two codes from the EBC.  One will be via e-mail and the other by phone.  These codes are used to create your Digital Certificate.

We encourage everyone to have a Digital Certificate, but it is not required. You will gain more functionality than an unregistered user if you had one.

## Legal Notes

**Digital Certificate Subscriber Agreement**
- _Certificate Sharing_
- Legal personnel working under the direction and control of a Digital                Certificate holder may file if they provide name and e-mail address.
- _Upcoming Enhancements_
- Administrative Certificate to enable more efficient delegation of workload related to patent filing and viewing.

- See EFS-Web Legal Framework for more information

**Notes:**
There is a subscriber agreement that is associated with the Digital Certificate that outlines the policy on Certificate sharing.

Certificate sharing can occur with one person at a particular time.  For example, if a legal secretary is working under the authority of an attorney, then the attorney can share his Digital Certificate with the secretary.
We are currently working on creating Administrative Certificates so that administrative personnel within an organization can have their own Digital Certificate.

We encourage you to review the EFS-Web Legal Framework that can be found on the USPTO.gov Web site for more information on the Digital Certificate Subscriber Agreement.

## Portable Document Format (PDF)

**Notes:**
PDF is the most common document format used for EFS-Web submissions.  We will now review the types of PDF writers that work with EFS-Web and how to create a PDF file, as well as discuss what can and cannot be included in your PDF file.

## About PDF Technology

**PDF (Portable Document Format) is a universal file format. **** **
**Preserves the fonts, images, and layout of any source document regardless of application/platform used to create it.**** **
**EFS-Web accepts text-based and image-based PDF files.**
_**EFS-Web requires you to have a PDF Creation Tool.**_
- PDF Reader  - Allows you to **view** PDF files.
- PDF Writer (Creation Tool) - Allows you to **create** PDF files.

**Notes:**

PDF is an open file format specification that is not owned by Adobe and is the standard for secure and reliable distribution and exchange of electronic documents and forms around the world. 
PDF preserves the fonts, images, and layout of any source document regardless of application/platform used to create it 
EFS-Web accepts both text-based and image-based PDF files.  Text-based PDF files have metadata, and you can copy, search, and paste the text. Image-based PDF files are a snapshot of a document. Scanning usually creates image-based PDF files. 

EFS-Web requires you to have a PDF Writer, which is used to create your .pdf files.  If you have a PDF Reader, you will only be able to view .pdf files.  

## 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**

**Notes:**
There are a number of PDF Writers available. 
PDF Writers certified by USPTO to work with EFS-Web include both Pay and Free/Share tools: 

You must pay for: 
Adobe Professional and 
Primo PDF

The rest that are listed are available for free, which include:
ABXPDF
Open Office
Easy Office
Cute PDF
PDF Redirect
PDF 995

## Creating PDF files

**There are 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 another recommended PDF print driver.
- _Convert-_** **Using Adobe Professional menu.

**Notes:**
Creating PDF files is very easy to do.

You have several options to create PDF files:

One way to create a PDF file is by scanning.  This involves taking a paper document and running it through a scanner, so you can save it as a .pdf file.

You can also click Print and select the PDF print driver, which will convert your source file to PDF.  

In some software applications, you have the ability to click on the pdf converter icon button, and this will turn your source file into a PDF. 

## About PDF Files

- Document Format
- Standard 81⁄2” x 11” or A4 (21 cm. by 29.7 cm.)
- PCT applications require A4 paper size.
- 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:**
When utilizing EFS-Web, you want to make sure your documents adhere to the specific document formats outlined on the screen. 

The document formats that are acceptable are:
-Your documents should be in be standard 81⁄2 by 11 inches or A4, which is 21 cm. by 29.7 cm. 
-PCT applications filed with the RO/US through EFS-Web are required to be standard A4.
-Any larger pages will be automatically reduced to 8 1⁄2 by 11 inches by the system. 
-Any document that is above 14 by 14 inches will be rejected by the system.

Any PDF file that is submitted through EFS-Web must use versions 1.1 – 1.6 of the PDF Specification.
	-For example, the latest version of Abode Acrobat Professional 7 will create version 1.6 of the PDF specification.

The fonts in your .pdf files must be embedded to ensure they travel with the document when it is uploaded into EFS-Web.
	-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.

## About PDF File Objects:

**The PDF Files should not include:**
- 3D 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

**Notes:**
Your PDF files should not include:
3D models
Color images. EFS-Web CANNOT ensure proper Color Match. However, you can submit color drawings in design applications.
Images below the recommended 300 dpi - this is to ensure your images have the best quality.
Attachments which include sound or movie files.  
Any multi-page objects items.  For example, a picture that spans 2 pages long without a break
Dependencies on external files or programs.  If you refer to a file within your document that is in your computer or on your network, EFS-Web will not have the capability to access that file.

## 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.

**Notes:**
If your file consists of any of the items listed below, you will not be able to submit your file through the system.  You will receive a validation error message.

EFS-Web does not accept any password-protected or encrypted PDF files. The EFS-Web PKI infrastructure manages the security and encryption.  In addition, EFS-Web submissions are protected using Transport Layer Security or Secure Socket Layer protocol, which are established e-Commerce Internet Security Standards. 

All PDF files must also be free of executables, worms, viruses, or other malicious content.  Files with malicious content will be deleted.

Furthermore, you should not use bookmarking, commenting, compression, and/or layers. This will result in an error message during the upload. The PDF needs to be one layer. Bookmarks within the PDF will not work properly, and commenting and reviewing features will be lost when it is made into a TIF file.

## 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:**
Some things to consider when you name your files for EFS-Web are:

The file name can start with and consist of alphanumeric characters 
File extension needs to be a .pdf, .txt, or .zip
Spaces are permitted in the file path
The file name can be up to 100 characters long, including the file extension

## 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
**USPTO JobOptions file and installation instructions can be found: **
_**http://www.uspto.gov/ebc/portal/tools.htm**_

**Notes:**
Adobe .JobOptions makes sure that the format of your file is correct before you submit it to EFS-Web.  
It automatically configures your settings by compressing your file size, setting minimum resolution, and ensures your fonts are embedded.

You can go to the USPTO.gov Web site and download Adobe .JobOptions.  
One thing to note is Adobe JobOptions is only used for the PDF creator, Adobe Professional. 
It can be applied to an existing .PDF (reprint with .JobOptions) or to a source file (.doc) prior to printing to .PDF.

## 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, 7.0.9, 8.1.1, 8.1.2, or 9.0) required.**  **

**Notes:**
A Form Fillable .PDF requires no special software except you must have the latest version of Adobe Reader and this is freely available from Adobe.  
Certain USPTO forms are fillable, dynamic, and savable using Adobe Acrobat Reader 7.0.8, 7.0.9, 8.1.1, 8.1.2, or 9.0.
The forms can be downloaded and data can be entered into the forms and saved. 
The Form Fillable .PDF 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 re-open a saved form to modify the data embedded.
You can import and export data to/from the forms.  This imported/exported data can be managed from various sources including document management systems.
You can print the forms with the data.
The forms are able to interface with the internal USPTO systems to extract or pull the data exactly as you entered.  This will minimize Correction of Filing Receipt sent to OIPE or bibliographic data changes in Private PAIR.

## Fillable Forms enabled for EFS-Web

**Fillable Forms enabled for EFS-Web**

**Forms Available Now**
**SB08A - Information Disclosure Statement (IDS – 37 CFR 1.97 & 1.98)**
**SB14 - Application Data Sheet (ADS – 37 CFR 1.76)**
**SB16 - Provisional Application for Patent Cover Sheet (37 CFR 1.53(c))**
**SB28 - Petition to Make Special Under Accelerated Examination Program**
**SB30 - Request for Continuing Examination (RCE)**
**SB66 - Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(c))**
**SB130 - Petition to Make Special Based on Age for Advancement of Examination (37 CFR 1.102(c)(1)).**

**Notes:**
There are six Form-Fillable PDFs that have been enabled to work with EFS-Web. They include the:
IDS
ADS
Petition for Accelerated Examination
RCE
Petition to Accept Unintentionally Delayed Payment and
Provisional Application for Patent Cover Sheet

We will review each of these forms and their purpose next.

## Information Disclosure Statement (IDS)

**Information Disclosure Statement (IDS)**

**The electronic IDS form allows only citations of U.S. patents and U.S. patent application publications.**
**Visit**** **_[http://](http://www.uspto.gov/ebc/portal/forms.htm)__[www.uspto.gov/ebc/portal/forms.htm](http://www.uspto.gov/ebc/portal/forms.htm)_** for the ****latest version of the IDS form.**** **

**Notes:**
An Information Disclosure Statement also known as the IDS form, is used to list your U.S., foreign, and Non-patent literature (NPL) references associated with your application. 

The form provides a clean reference list to make it easier for the examiner to review.

You only list those references that you had in your application.

The U.S. references are auto-loaded into the form.  Others are stored in the IDS in the IFW.

## Application Data Sheet (ADS)

**Application Data Sheet (ADS)**

**A voluntary all-in-one form.**
**Visit **_**[http://](http://www.uspto.gov/ebc/portal/forms.htm)**__**[www.uspto.gov/ebc/portal/forms.htm](http://www.uspto.gov/ebc/portal/forms.htm)**_** for the latest version of the ADS form. **

**Notes:**
An Application Data Sheet, also known as an ADS form, is used to indicate application bibliographic data.  For example inventors, continuity data, and non-publication requests.

All of your information is auto loaded.

## Provisional Cover Sheet 

**Required when filing a provisional application for patent.**** **
**Choose Provisional Cover Sheet (SB16) as the document description, not Transmittal Letter.**
**Visit **_**[http://](http://www.uspto.gov/e)**__**[www.uspto.gov/ebc/portal/efs/ProvisionalSB.pdf](http://www.uspto.gov/e)**__**[ ](http://www.uspto.gov/e)**_**for Provisional Cover Sheet fillable form for use with EFS-Web.**

**Notes:**
The USPTO offers inventors the option of filing a provisional application for patent, which is a U. S. national application for patent filed in the USPTO under 35 U.S.C. § 111(b). 

To be complete, a provisional application must include the filing fee and a provisional cover sheet, which identifies: 

the application as a provisional application for patent; 
the name(s) of all inventors; 
inventor residence(s); 
title of the invention; 
name and registration number of attorney or agent and docket number (if applicable); 
correspondence address; and 
any US Government agency that has a property interest in the application.

## You can request Accelerated Examination for a Utility or Design application.   
Visit http://www.uspto.gov/ebc/portal/forms.htm for the latest version of the AE form. 

**Accelerated Examination**

**You can request Accelerated Examination for a Utility or Design application.  **** **
**Visit **_**[http://](http://www.uspto.gov/ebc/portal/forms.htm)**__**[www.uspto.gov/ebc/portal/forms.htm](http://www.uspto.gov/ebc/portal/forms.htm)**_** for the latest version of the AE form. **

**Notes:**
A Petition for Accelerated Examination form is used to participate in the special program to have your application expediently reviewed by the USPTO.

We suggest you use this form because the Office of Initial Patent Examination (OIPE) is trained to look for this specific form.

You can request Accelerated Examination for a Utility or Design application.  When filing on EFS-Web, simply select Accelerated Exam as your filing type.  Remember to select design or utility for your application type.

## Submitted after a final rejection if the inventor still wants to pursue a patent.

Visit http://www.uspto.gov/ebc/portal/forms.htm for the latest version of the RCE form. 

**Submitted after a final rejection if the inventor still wants to pursue a patent.**
**Visit **_**[http://www.uspto.gov/ebc/portal/forms.htm](http://www.uspto.gov/ebc/portal/forms.htm)**__** for the latest version of the RCE form.**_** **

**Request for Continued Examination (RCE)**

**Notes:**
A Request for Continued Examination, also known as a RCE, is submitted to the USPTO after the final action to continue prosecution with the same examiner. RCEs are submitted after a final rejection if an inventor still wants to pursue a patent.

Please file as an existing application submission through EFS-Web.

The data will be manually processed.

## 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.**

**Notes:**
The Petition to Accept Unintentionally Delayed Payment of Maintenance Fees form is an auto-granting form used to revive the patent in cases where the maintenance fee was not paid unintentionally.

There are certain prerequisites that need to be met.  One is that it meets business rules -- for example, if previous fees have been paid or the expiration is not beyond 24 months.  
You do not file this form as a follow on.  It must be filed in Petition process.

It provides immediate grant of petition, subject to business rules.

## 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.**

## 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 ©, ®, TM, 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.

**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 ©, ®, TM, 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](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.

**Notes:**
It is important to use the versions 7.0.8, 7.0.9, 8.1.1, 8.1.2, or 9.0 of Adobe, to get the best performance from the Fillable Forms.  Anything less than 7.0 will not work. 

For the fields “Title of Invention” and all Inventor Names you are able to enter special characters such as the Copyright, Registered, or Trademark characters in the form and also on the Application data screen in EFS-Web; however, translation errors may occur.  On the initial filing, the official record will be correct in the Image File Wrapper and also on the Acknowledgement Receipt. The USPTO is working to resolve this in a future release.

Please also note that the latest version of all fillable forms must be used.  The version number can be found on the lower left-hand corner of each page.

## 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.

**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://](http://www.uspto.gov/web/forms/index.html)__[www.uspto.gov/web/forms/index.html](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.

**Notes:**
You may still use our legacy forms from the USPTO Web site.  The data will be hand keyed into the 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 it has been modified. At that point, the data will not get automatically loaded into the backend systems.

## Fillable Forms 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.

**Fillable Forms Validation**

**Notes:**
There are 2 types of validation for the fillable forms.

The first is client validation. Client validation checks at the field level of the form.  It checks for data type, such as numeric versus alpha. It can also check for field length.  In addition, client validation 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.

The second is server validation, which is done at upload time on the server.  Server validation checks if the attached form is a USPTO fillable form, a legacy form, or a user 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 of 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.

## Legal Notes

**Signature Requirements**
- _PDF created by Scanning_  - You may print documents, wet sign, and scan them back in as a PDF file.- You may scan in an image of a signature and insert the signature into a PDF file.
- _PDF created by Printing/Converting_- Enter your electronic signature into a document and then print/convert to PDF file.
- _USPTO Fillable Form_- 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		          	                 Jane Doe 99,999

**Sign all documents according to 37 CFR 1.4**
- See EFS-Web Legal Framework for more information

**Notes:**
Below are the signature requirements that an applicant must adhere to.  For instance, 

You can have oaths and declarations signed and then scan them in as PDF files or use the electronic signature.  

You can print the document then wet sign it and scan it back in as a PDF.
Or you can scan your signature and save it as an image file then insert it into your document and convert it into a PDF file.

You can also enter your electronic signature by using the format provided in the examples below, and then convert your document into a PDF file.

If you are using a USPTO fillable form, you can enter your electronic signature into the form itself.

Please sign all documents according to 37 CFR 1.4.  See the EFS-Web Legal Framework for more information.

## 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.

**Notes:**
There are some technical requirements that you need to be aware of regarding the Fillable Forms.

You must have the updated version of Adobe.  The only two versions that will work are (7.0.8, 7.0.9, 8.1.1 or 8.1.2).  

You can check what version you have simply by selecting Help from the toolbar of the application.  You will then click on About Adobe Reader to find the latest version you are using.

If you update version 6 dot 0 (6.0) or below, it will only update that specific version.  What you’ll need to do is uninstall the older version and then install Adobe Reader 7 dot 0(7.0).

## EFS-Web Filing Demonstration

**EFS-Web Filing**** Demonstration**

## Access EFS-Web Portal

**Notes:**
In order to file on-line using EFS-Web, you will have to go to the USPTO Web site.  

From the USPTO homepage, you will click on Patents from the side bar and then File Online in EFS-Web.

## Selecting Filer Type

**Select eFiler Type**

**Notes:**
Once you select File Online in EFS-Web, you will be taken to this screen to choose your filing type.

For demonstrations purposes, we are going to select e-File as a Registered user.

## EFS-Web E-Filer Registered Sign-On

**EFS-Web E-Filer Registered Sign-On**

**Enter Log-In Information**

**Locate PKI Certificate**

**Notes:**
When you log onto the USPTO Web site and are a registered filer, you will be brought to the User Authentication screen.  You will be able to upload your .epf file, also known as your Digital Certificate.  You will then type in your password and select the Authenticate button.

Registered e-Filers must also check the box indicating that they have read and accept the terms of the BIS Statement on the Login screen prior to authentication. 

## File a New Application

**File a New Application**

**Select Application Type**

**Certify Filer Information**

**Notes:**
Once you are authenticated to the USPTO server, you will be asked to select if you are the certificate holder of if you are working under the authority of a certificate holder.

If you are working under the authority of a certificate holder, you will be asked to provide your first and last name along with your e-mail address.

The user-friendly EFS-Web filing type selection screen allows applicants to readily identify the desired filing option.  The system no longer automatically selects the application or filing type as the default.  The applicant has the ability to decide if they want to file a new application or a follow-on. 

## File a New Application

**File a New Application**

**Dynamic Message**

**Notes:**
In addition, the filing type selection screen now displays dynamic messages related to the EFS-Web system.  Registered and unregistered e-Filers are able to view important EFS-Web related announcements near the top of the EFS-Web filing type selection screen.

## File a New Application

**Practitioner Registration Status Warning**

**Notes:**
Registered practitioners will also receive a warning to contact the Office of Enrollment and Discipline (OED) if their registration status is not active to practice before the USPTO. 

## Enter Application Data

**Enter Application Data**

**Enter Inventor Name**

**Enter Customer Number or Correspondence Address**

**Enter Application Bibliographic Data**

**Notes:**
Once you decide to file your utility application, the system will ask for some basic bibliographic data which includes title of invention, first and last name.  You will be allowed to input your attorney docket number if applicable, but it is not required.  Anything with an asterisk is a required field.

The system is asking you for very little information because you have already included this in the documents that you submit through EFS-Web.

You will then select your Customer Number from the drop-down box or type it in. If you select your Customer Number from the drop down menu, you will see the correspondence address associated with you Customer Number on the attach documents screen. The correspondence address will not appear if it is entered manually.

If you do not have a Customer Number, click on the correspondence address radio button.  You will have to input this information every time you file.

## Attach Documents

**Attach Documents**

**Bibliographic Data is Echoed Back to Applicant**

**Attach Files**

**Filter by Category**

**Select Document Description**

**Delete Files**

**Notes:**
Once you click on continue, you will see this screen.  The system will provide you with the bibliographic information you have entered.  If you see there is a mistake, simply click on the Application Data tab to make your edits.  You do not want to click your Internet browser back button to make those changes.

You will then be able to attach your files.  Once you upload a file, you will choose your document description.  The system will only provide the document descriptions that are related to the filing type that was chosen.  In this case, the document descriptions are for a new utility application.

You can filter the document description list even further by selecting a category from the drop down list.  Although a category is not required, it can be very helpful to the applicant.

e-Filers are also able to dele unwanted files prior to Upload and Validate.

## Progress Bar

**Progress Bar**

**View the status of ****your upload**

**Notes:**
Once you finish attaching all your files, you will then click on the Upload & Validate button.  EFS-Web will display a progress bar so you can view the status of your upload.

## Review Documents

**Review Documents**

**Attach Additional Files**

**Edit or Remove Attached Files**

**Review Attached Files**

**Validation Warning / Error Symbols**

**Notes:**
(Graphic:  Bring up this caption box and circle, "Validation Warning / Error Symbols" at the start of the narration.)
When the system is validating your documents, it is checking for the format of your document, not the actual content.  For example, if your PDF is 10 by 12 inches and not the standard 81⁄2 by 11 inches, the system will provide you with a warning, which is displayed as a yellow triangle.  The system is just telling you to proceed with a little caution, but you will still be able to go on with your submission.

(Graphic:  Bring up the caption box and circle as these items are called out) 
You can review your attached files, attach additional files, or edit or remove attached files.

If the system provided you with an error, which is displayed as an upside down red triangle, you will need to remove your document, fix the error, and then re-upload it into the system.

## Calculate Fees

**Calculate Fees**

**Fees Calculated Based on Values Entered by User**

**Must select business size (Large or Small Entity)**

**Notes:**
After you’ve uploaded your documents, you will be brought to the Calculate Fees screen.  The system will automatically default to large entity as the business size.  If you are a small entity, please make sure you select it to identify yourselves properly.

As an applicant, you will receive discounts for e-filing.  For example, EFS-Web allows you to submit up to 133 pages without incurring an additional fee.  If you were filing via paper, you could only submit up to 100 pages.

Once you select all of your fees, click on the Calculate button.

Your total fees will be displayed in the upper right corner.  Please click Continue to proceed.

## Confirm & Submit

**Confirm & Submit**

**Final Opportunity to**
**Review/Confirm/Edit Data**

**Fees Calculated**

**Final Review of**
**Attached Files & Status**

**Edit Files**

**Notes:**
You will now be given the opportunity to review, confirm, or edit your data.  As a registered e-Filer, you will also be able to save for later submission.  The saved submission will be under My Workplace for seven calendar days.

EFS-Web will generate a fee-information sheet for you automatically.

Once you do one final review, click on the Submit button only once.

## Confirm & Submit

**Confirm & Submit**

**Warning Dialogue box confirms applicants would like to save their submission**

**Notes:**
As a registered e-Filer, you will also be able to save for later submission.  

The "Save for Later Submission button is located in two places:  the top right corner and the bottom of the page.  If you select, "Save for Later Submission" at the bottom of the screen a warning dialogue box will appear.  This is to confirm the applicant would like to save their submission as opposed to submitting to the USPTO. 

The saved submission package will be available in My Workplace for seven calendar days.

## Pre-Acknowledgment Receipt

**Pre-Acknowledgment Receipt**

**Application Number, Confirmation Number, and EFS ID Displayed**

**Total Fees**
**Identified**

**Payment Options**
**Presented**

**Notes:**
Once you click on Submit, you will receive your application number, confirmation number, and EFS ID number.

You will need your application and confirmation number to file a follow on.

The EFS-ID number will be used for when you contact the Electronic Business Center.  The EBC will use this number to pull up your application information.

You will be asked if you would like to pay now or later.  

## Pre-Acknowledgment Receipt

**Pre-Acknowledgment Receipt**

**Payment Options**
**Presented**

**Notes:**
Once you click on Submit, you will receive your application number, confirmation number, and EFS ID number.

You will need your application and confirmation number to file a follow on.

The EFS-ID number will be used for when you contact the Electronic Business Center.  The EBC will use this number to pull up your application information.

You will be asked if you would like to pay now or later.  

## Payment Options

**Choose Method of Payment**

**Notes:**
If you decide to pay now, you can pay via credit card, USPTO Deposit Account, or Electronic Funds Transfer.

## Pay Fees

**Pay Fees**

**Notes:**
EFS-Web now allows e-Filers to authorize other charges to a deposit account when paying by credit card and enhances the other charges for deposit account.  

An e-Filer is required to choose deposit account and input user's name.

## Acknowledgment Receipt

**Acknowledgment Receipt**

**Important Application Information**

**Date and Time Stamp **

**Post-Submission Options**

**Notes:**
If you select No and plan to pay later, please make sure you pay your fees by midnight, Eastern Time, the day of your filing so you don’t incur any additional fees.  

The Acknowledgement Receipt will show you the time and date the USPTO received your submission.  Please note that the time is in EASTERN time.

If you pay or not, you will receive your Acknowledgement Receipt.  This will display all of your application information.  You will have the ability to print or save the receipt as a PDF.
As a registered filer, you will be able to access your last 40 Acknowledgement Receipts under the My Workplace section. You will be able to file an assignment, pay maintenance fees, and access Private PAIR from the HTML version of the Acknowledgement Receipt, as well.  

Accessing ePAS via the link on the Acknowledgement Receipt allows certain data fields in ePAS to be pre-populated using information provided to EFS-Web and will save e-Filers' time.

## Acknowledgment Receipt

**Click on the E-mail Receipt Info link to launch the e-mail program.**

**Notes:**
e-Filers will be able to launch their e-mail programs to send information about Acknowledgement Receipts and Pre-Acknowledgement Receipts. 

This added feature will allow customers to send their EFS-Web Receipt information to contacts after submitting an application via EFS-Web.

Users have the ability to insert e-mail address(es) and customize EFS-Web Receipt e-mail by adding text. 

## Application in Private PAIR

**Notes:**
Once you submit your application, within an hour of your submission, you can access your application in Private PAIR.

This is an example of what a pending application looks like in Private PAIR.

Your application data is displayed and when you click on the Image File Wrapper tab, you will be able to see all the documents associated with your pending application, if you are a registered user.

## View Saved Submissions

**My Workplace**

**Select Saved Packages by Customer Number **

**Notes:**
The My Workplace feature is available on the, EFS-Web filing type selection screen.  

Registered e-Filers are able to view Saved Submission packages created for new applications that are associated to their customer number. 

Again, the saved package is available for seven calendar days.

## View Last Acknowledgement Receipts

**Last 40 Acknowledgement Receipts**

**View Application in Private PAIR**

**Notes:**
Additionally, as a registered filer, you will be able to access your last 40 Acknowledgement Receipts under the My Workplace section.  

e-Filers can also save time by launching their e-filed applications in Private PAIR with a click of the PAIR button on the Last 40 Acknowledgement Receipts screen. 

## 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.

- 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.

**Navigation**

**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.

**Notes:**
Navigating through EFS-Web is easy to do as long as you keep these simple tips in mind.

To move forward within the system, please use the Continue button on the bottom of the web screen.  This will ensure that the information you input into the system is saved.

You must use the navigation tabs on the top of your web screen to go back, review, or make any changes.  Please do not use the browser buttons to move back or forward.

You can use the tab key to move from field to field.

Please note that the tabs allows you 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 tabs to go forward, the changes will be lost.

## Warning Messages

**Warning Messages will appear while on the "Attach Documents" screen in EFS-Web 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.

**Notes:**
e-Filers will receive pop-up warning messages to prevent errors from happening when utilizing EFS-Web. The following will trigger a warning message in the “Attach Documents” navigation tab:

For instance, if the user clicks the “Review” button prior to upload and validation. 
In addition, if the RO/101 document is not attached in PCT submissions; the system will provide a warning message
If a Provisional Cover sheet is not attached.  The system will also show a warning message.

Again, these warning messages are to ensure that e-Filers submit the appropriate documents electronically.

## Validation Warnings

**Validation warnings will occur for the following reasons:**
- 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 a USPTO fillable form.

**Notes:**
After the validation process, EFS-Web will let you know if there were any problems with your submission. This allows you to correct your documents before you submit them.

If you see a yellow triangle beside your file, it is just a validation warning. You may still proceed with your submission if you received a validation warning.  

You may receive a warning if:
	- Your page size is not 81⁄2 by 11 inches or the standard A4 
or
	- You have non-licensed fonts in your document
	or
	- You have attached a form that is not a USPTO fillable form

## Validation Errors

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

**Notes:**
EFS-Web will also let you know if there are any errors with your documents by showing you a red upside down triangle.  

The filer is not able to proceed with a validation error.

You will receive an error if:

	-your file is password-protected
	-you have two or more files with the same name
	-you have non-embedded fonts
	-any version of PDF is below 1.1
	-a PDF file contains OLE files
	-attached files are not in PDF format
	-you choose the incorrect document description of a .txt file
	-file size is over 25MB
	-page size is above 14 by 14 inches
	-Petition has missing or incorrect data

## 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.

**Notes:**
After you submit your application, with or without paying your fees, you will receive an Acknowledgement Receipt.  
	-It is the electronic equivalent of an express mail receipt of a paper submission.  
     -You will also receive an official filing receipt which will be sent to you by the Office of Initial Patent Examination through the United States Postal Service. 

In addition, your Acknowledgement Receipt date is based on Eastern Time 
For review, your receipt provides important application information, which includes receipt date, application, confirmation and EFS ID number, bibliographic data, file names, and your fee amount.

## 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

**Notes:**
Here are some post submission procedures that you should be aware of.

If you choose to pay later after you submit your application, you have until midnight Eastern Time to pay your fees without incurring any penalties.

You are able to pay as a follow-on if you have both the application number and confirmation number.  As long as you pay your fees within the same calendar day, you will not accrue any additional surcharges.

-Registered users can file missing parts within the same day as follow-on documents, and those documents will not be considered late.  It will not require a late or missing surcharge in certain situations.  

Registered users can also submit Express Abandonment and may request a refund for certain fees. 

Please contact the EBC if you have any questions.

## EFS-Web Indexing

**EFS-Web Indexing**

## 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.

**Notes:**
As you saw in the demonstration, indexing is attaching a description to the files you are uploading into EFS-Web and is required by the USPTO.

If you are filing a multi-doc, please make sure to specify your page ranges and index all the files within the multi-doc.

The document description list will provide you with only those descriptions related to the filing type chosen.  For example, if you were to file a provisional application, you will only see the document descriptions that are associated with a provisional application.
The USPTO personnel will check your documents for accuracy so if you mis-index a document, it will be corrected.

Finally, indexing has no legal relationship to the patent application.

## 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.

**Notes:**
Indexing is a very important aspect to the filing process.  Indexing ensures the documents associated with your application are routed properly within the USPTO.  It also aids your workflow and the examiners’ workflow while providing timely handling of your application.

## 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_

**Notes:**
You can find a complete list of document descriptions on the USPTO Web site, as well as find help on how to index your documents by accessing the links on your screen.

## Electronic Business Center(EBC)

_**Customer Number**_

_**PKI Certificates/Digital Certificates**_

_**Electronic Filing System**_

_**Patent Application Information Retrieval**_

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

**Notes:**
The Electronic Business Center is the main support system for EFS-Web, PAIR, and information for Customer Numbers and Digital Certificates.  

## If you have questions or need technical assistance please contact our:

**Electronic Business Center (EBC)**
**Monday – Friday (6am – Midnight, Eastern Time)**
**Phone: 1-866-217-9197 /**** 571-272-4100 **
*** **Select option 2
**Fax:      571-273-0177**
**Email:   EBC@uspto.gov**

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

**Notes:**
The Electronic Business Center is available from 6 am to 12 am Eastern Time, Monday through Friday.

Contact them by phone toll free at 1-866-217-9197 or at 571-272-4100.

You can fax them at 571-273-0177 or e-mail ebc@uspto.gov.

## FAQs
Tools
Training
Tutorials

Please visit http://www.uspto.gov/ebc/efs_help.html for 
more information.

- Tools
- Training
- Tutorials
- Please visit _[http://www.uspto.gov/ebc/efs_help.html](http://www.uspto.gov/ebc/efs_help.html)__ for _
- more information.

**EFS-Web References**

**Notes:**
The USPTO has web references for EFS-Web and PAIR.  Please visit the EFS-Web Help page for Frequently Asked Questions or FAQs, Tools, Training and Tutorials that are all available for free.
The “voice of the customer” drives future development of EFS-Web.  We encourage you to provide us with your comments at EFSfeedback@uspto.gov

## 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**
- Patent Legal Administration 571-272-7700
**Copies**
- Office of Public Records 1-888-786-0101
**Petitions**
- Office of Petitions 571-272-3282

**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
**Reexaminations**
- Central Reexamination Unit 571-272-7705
- General Questions 571-272-7705
- Reexamination Pre-Processing 571-272-7705
**Reissues**
- Technology Center 571-272-7700
- Patent Legal Administration 571-272-7700

**Notes:**
This screen provides additional resources if you have other patent-related questions.