# Presentation: 692018

## Welcome to EFS-Web Indexing Training

**Welcome to EFS-Web ****Indexing Training**

## Today’s Training Agenda

**Important Metrics**
**EFS-Web Overview**
**Indexing**
- What is Indexing?
- Why Index?
**Common ****Submissions**
- Provisional, Utility, Design and Reissue Application
- 371 National Stage and PCT Application
- Request for Reexamination
- Pre-Grant Publication
- Amendment
- Information Disclosure Statement
- Accelerated Examination
**Document Indexing Tips**
**Common Indexing Questions**
**Priority Document Exchange**
**Indexing Resources**

## Important Metrics

**About 10% of all submissions received contain errors**
**Approximately 40% of those errors involve using the wrong document description**
**25% of the errors involve separating distinct documents**
**Improper use of a Transmittal Letter and Miscellaneous Incoming Letter document descriptions are the most common errors**

**Notes:**
These are important metrics because:  

-If documents are indexed properly they will be promptly routed to the appropriate department for quicker processing.

## EFS-Web Overview

## Overview Information What Can Be Filed?

**New Applications**
- Provisional, Utility, Utility Reissue, 371 National Stage, Design Reissue and Design with Color Drawings.
- International applications for filing in the U.S. Receiving Office
**Proceedings**
- Reexamination
**Existing Applications**
- Follow-on correspondence
- Accelerated Examination
- 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:**
On EFS-Web you can file new applications including:  Accelerated Exam, Design Reissue, Design with color drawings, provisional, utility, utility reissue, reexam, 371 National Stage and International applications for filing in the U.S. Receiving Office.

 As a registered user you have the ability to also file follow-on documents for existing applications. One exception is Unregistered and Registered users can file a Petition to Accept Unintentionally Delayed Payment of Maintenance Fees.

 As a registered user an applicant can also submit Pre-Grant Publication Requests (or PG Pubs).

## OverviewWhat Can Be Filed?

**Document Description List**
- An e-Filer can select from document descriptions that are applicable to their particular submission
**Numerous Fees**
- Most fees contained in the complete Patent Fee Schedule may be paid via EFS-Web

**Notes:**
An applicant will be able to index their files by selecting from a list of document descriptions that are associated with the filing type that was chosen.

An applicant can submit nearly all fees that are listed on the Patent Fee Schedule through EFS-Web.

## What Cannot be Filed Using EFS-Web 1.1.4?

**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:**
Following is a list of things that cannot be filed using EFS-Web.

 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, ePas and PAIR.  

 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.

 Remaining items are either patent driven or related to litigation proceedings.  

## EFS-Web Indexing

**EFS-Web Indexing**

## Indexing of EFS-Web Submission

**Indexing**
- Indexing is applying a document description to a PDF or TXT 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
- Nearly 200 document indexing descriptions are offered, however, the particular filing submission may reduce the number of available descriptions.
- Categories are used to assist users in finding the correct indexing description
**By choosing a category, the number of available document descriptions may be reduced even more.**
- 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

**Notes:**

As you saw in the demo, 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 applicationn.
USPTO personnel will check your documents for accuracy so if you mis-index a document, it will be corrected.

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
- – Incorrectly indexed documents may result in a delay in the documents being properly routed to appropriate USPTO personnel
- – Generates smoother work flow and assigns the submission to 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 while provides timely handling of your application.

## Common Filing Submissions

## New Utility Application Filing

**Specification, Claims, and any necessary Drawings are required to be accorded a filing date**
- All of these descriptions can be found under the Category “Application Part”
- Please note that an abstract is required for the application to be complete, but is not required for an application to be accorded a filing date
**Oath or Declaration and Abstract are required for Application to be considered complete**
- These descriptions are located under Category “Application Part”
- A combined Oath or Declaration and Power of Attorney should be indexed as “Oath or Declaration Filed”
- Surcharge for Oath/Declaration not filed with the original submission is $130
**Application Data Sheet (ADS)**
- Recommended – description is also located under the Category “Application Part”
- e-filing ADS located at _[http://www.uspto.gov/ebc/portal/forms.htm](http://www.uspto.gov/ebc/portal/forms.htm)_
- Requires Adobe Reader 7.0.8 or 7.0.9

**Notes:**
When filing a new utility application, it is important to refer to the filing guidelines to determine all the necessary documentation needed for your patent application.

 For example, Specification, Claims, and any necessary Drawings are required to get a filing date.  Also, Oath or Declaration and Abstract are required for Application to be considered complete.

-Each of the application parts should be separately indexed
-All the necessary document descriptions are available under the category application part, which allows you to index your documents without the need to search through the numerous list of document descriptions.

## 371 National Stage Application Filing

**When filing a 371 National Stage Application, always break out application parts into Specification, Claims, Abstract, etc.**** **
**When submitting PCT documents with 371 National Stage Application:**
- Use Category “Documents submitted with 371 Applications”
**International Search Reports being submitted should be indexed as:**
- Use Category “Documents submitted with 371 Applications”
- If the Search Report is used as prior art, index it as “NPL Document”
**Translations should be broken into application parts (e.g., Specification, Claims, Abstract, etc.)**

**Notes:**
-Indexing your application parts in a 371 National State Application is very similar to a new utility application except any PCT documents submitted with a  371 Application should be indexed using ‘documents submitted with 371 applications.’

-This includes international search reports, except if the search report is being used as prior art.  In that case, it should be indexed as NPL document.

-If submitting translations, they should be broken into application parts as well.

## PCT Application Filing

**Index the RO/101 Request form as “RO/101 – Request form for new IA – Conventional” or “RO/101 Request form for new IA – PCT Safe format” when using PCT-SAFE in PCT-EASY mode**
**Index Application Parts as “Specification”, “Claims”, “Drawings”, etc.**
- Located under Category “PCT – Application Part”
**If attaching a Transmittal Letter, use “PCT – Transmittal Letter” under Category “PCT – General Transmittal”**
**For miscellaneous communication, use “Misc. Incoming Letter from Applicant – IA” under Category “PCT – General Transmittal”**
- Use “CHII - Misc. communication from Applicant -IA” for Chapter II communication
**If attaching PCT-SAFE Zip file, also need to attach the specification, claims, abstract, drawings, etc., as PDF files.  **
- Please do not add these documents to the PCT-SAFE Zip file, as EFS-Web will not extract them for processing.

**Notes:**
-When submitting a PCT application, all of the documentation can either be submitted as PDFs or the RO101 form and fee sheet can be submitted through the PCT SAFE zip file.

-If submitting a zip file, make sure you attach other supporting documentation as PDF files separate from the zip file.  Do not add these documents to the zip file because EFS-Web will only extract the RO101 and fee sheet from the zip file.

-If submitting a zip file, you will only need to attach the file and upload it into EFS-Web.  The documents will be extracted from your zip file and automatically indexed appropriately.

-If you are attaching the RO101 form as a PDF, index the document as “RO/101 – Request form for new IA – Conventional” or “RO/101 Request form for new IA – PCT Safe format” when using PCT-SAFE in PCT-EASY mode.

## Pre-Grant Publication Requests except for requests for corrected publication can not be submitted as a follow-on paper
Choose the Pre-Grant Publication Request filing type from the initial screen in EFS-Web to make  pre-grant publication submission

Attach the Application Parts: Specification, Claims, Abstract, Drawings, and ADS for submissions pursuant to 37 CFR 1.215 and 37 CFR 1.221
Must use the e-fillable ADS in its original format (cannot be scanned in) 
Any related Amendments must be filed as a follow-on in a separate submission before the Pre-Grant Publication Request

- Choose the Pre-Grant Publication Request filing type from the initial screen in EFS-Web to make  pre-grant publication submission
**Attach the Application Parts: Specification, Claims, Abstract, Drawings, and ADS for submissions pursuant to 37 CFR 1.215 and 37 CFR 1.221**
- Must use the e-fillable ADS in its original format (cannot be scanned in)
**Any related Amendments must be filed as a follow-on in a separate submission *****before***** the Pre-Grant Publication Request**

**Pre-Grant Publication Filing**

**Notes:**
-PG-Pub filings should be submitted after an amendment filed as a separate follow on submission has been filed.

-The PG Pub filing will update the publication information for your application.

-When filing the PG Pub, applicants must use the e-fillable ADS form (PTO 14) and maintaining it in its original form (ie: do not complete the form and scan).

-When submitting the PG Pub, make sure to choose the PG Pub request filing type on the main EFS-Web screen.
	-If it is submitted as a normal follow-on, it will not automatically update the public information.
*Note to speaker-very impt to mention* - PG Pub submissions will not appear in the IFW as they only affect the publication information.

## The first document filed should be indexed so as to indicate the type of Amendment – e.g.“After Non-Final Rejection”, “After Final”,etc.
Would also include Transmittal, Explanation of Amendment
Located under Category “Amendment” 
Followed by Amended document(s) – e.g. “Specification”, “Claims”, “Drawings”, etc.
Found under Category “Amendment” or “Application Part”
Includes annotated version of amended document 
“Applicant Arguments / Remarks Made in an Amendment”
Located under Category “Amendment”
When to use “Amendment Copy Claims/Response to Suggested Claims”
This document description should only be used for the Transmittal document, not for the Claims themselves

- Would also include Transmittal, Explanation of Amendment
- Located under Category “Amendment”
**Followed by Amended document(s) – e.g. “Specification”, “Claims”, “Drawings”, etc.**
- Found under Category “Amendment” or “Application Part”
- Includes annotated version of amended document
**“****Applicant Arguments / Remarks Made in an Amendment”**
- Located under Category “Amendment”
**When to use “Amendment Copy Claims/Response to Suggested Claims”**
- This document description should only be used for the Transmittal document, not for the Claims themselves

**Amendment Filing**

**Notes:**
-There are three main parts to an amendment filing:

1.) Coversheet or Transmittal letter
2.) The amended application part
3.) the remarks or arguments

-These three parts should be separately indexed based on the following guidelines:

	-The cover sheet or transmittal letter should be indexed based on the type of amendment being submitted.  For example, if you are submitting a response to a final office action, the cover letter should be indexed as ‘amendment after final’.

	-The amended application part should be indexed based on the application part.  If you are amending a specification, the annotated (marked up version) of the specification should be indexed ‘specification’.

	-Applicant arguments or remarks should be indexed as “Applicant Arguments / Remarks Made in an Amendment”.  

-All of these document descriptions are available under the category ‘amendment’.

## Information Disclosure Statement (IDS) Filing

**Transmittal letters submitted with IDS form should be indexed as “Information Disclosure Statement letter.”**** **
**Index the form as “Information Disclosure Statement (IDS) Filed” under the “IDS/References” Category**
- E-IDS located at _[http://www.uspto.gov/ebc/portal/forms.htm](http://www.uspto.gov/ebc/portal/forms.htm)_
- Requires Adobe Reader 7.0.8 or 7.0.9
**Use “Foreign Reference” when submitting foreign applications/patents published by a non-US patent authority**
- In addition to listing them in the IDS

**Notes:**
-It is important that if u you submit your transmittal letter with your IDS form, you index it as “Information Disclosure Statement letter.”
-Separating the transmittal letter from the actual IDS, assists the USPTO in processing the IDS efficiently.

-Any foreign or NPL references listed in your IDS should be submitted using the document descriptions of ‘Foreign References’ and ‘NPL documents’.

-US references cited in your IDS do not need to be submitted.

## Information Disclosure Statement (IDS) Filing

**Use “NPL Documents” for indicating non-patent literature such as articles, magazines, etc.**
- In addition to listing them in the IDS
- Related US applications (i.e., pending, non-patented, non-published) should be attached separately or bundled using the “multi-doc” option
**Do not attach published US application/patent references**

**Notes:**
-US references cited in your IDS do not need to be submitted.

## How do I file a Petition to Make Special Under the Accelerated Examination Program?
Request must be made via EFS-Web, with respect to an application filed under 35 USC 111(a) and complete application complying with 37 CFR 1.51. 
To submit an Accelerated examination application as a follow-on, applicant must file:
Transmittal Amendment/Reply Accelerated Exam, indexed as “Accelerated Exam-Transmittal amendment/reply”, under Category “General Transmittal”

- Request must be made via EFS-Web, with respect to an application filed under 35 USC 111(a) and complete application complying with 37 CFR 1.51.
**To submit an Accelerated examination application ****as a follow-on, ****applicant must file:**
- Transmittal Amendment/Reply Accelerated Exam, indexed as “Accelerated Exam-Transmittal amendment/reply”, under Category “General Transmittal”

**Accelerated Examination Filing**

**Notes:**
-When filing a petition to make special under the AE program, all documentation must be submitted through EFS-Web and the fees must be paid at the time of initial filing.

-Read 2nd bullet

## To qualify for the accelerated examination program, applicant must file:
Accelerated Examination Form SB/28, indexed as “Petition for 12-month Accelerated Exam”, under Category “Petition” 
Examination Support Documents, indexed as “Examination support document”, under Category  “Petition”
Statement of Pre-Examination Search, indexed as “Statement of pre-examination search”, under Category “Petition”
Standard documents for patent or design application required 
Specification, claims, abstract, oath/declaration, transmittal & IDS

- Accelerated Examination Form SB/28, indexed as “Petition for 12-month Accelerated Exam”, under Category “Petition”
- Examination Support Documents, indexed as “Examination support document”, under Category  “Petition”
- Statement of Pre-Examination Search, indexed as “Statement of pre-examination search”, under Category “Petition”
- Standard documents for patent or design application required
- Specification, claims, abstract, oath/declaration, transmittal & IDS

**Accelerated Examination Filing**

**Notes:**
-To qualify for the accelerated examination program, applicant must file:
Accelerated Examination Form SB/28, 
Examination Support Documents, 
Statement of Pre-Examination Search, 
Standard documents for patent or design application required  (for ex: Specification, claims, abstract, oath/declaration, transmittal, IDS)

-These documents should be indexed based on the guidelines provided.

## Document Indexing Tips

## Transmittal

**“****Transmittal of New Application” under Category “General Transmittal”**
- To be used with new U.S. Application submissions only
- For use with the Provisional Cover Sheet (required)
- Follow-on documents should be submitted as the type of document being submitted (i.e. Amendment, IDS, etc.)
**“****PCT-Transmittal Letter” **
- Use this instead of “Transmittal Letter” for PCT Applications
- Found under Category “PCT – General Transmittal”

**Notes:**
-If submitting a transmittal letter with a new US application, it should be indexed using “Transmittal of New Application” under Category “General Transmittal”.

-This includes the provisional cover sheet with is a required document.  If using the ADS in substitution of the provisional cover sheet, it should be indexed as Application Data Sheet.

-PCT transmittal letters should be indexed using the specific  transmittal option found under the category of PCT –General Transmittal.

## 
“Computer Listing”, “Sequence Listing (Text File)”, and “Table in text format” 
Text files are for these document descriptions only 
Use “Sequence Listing” for image copy of sequence listing
Table TXT files should be a minimum of 50 pages 
If your table TXT file is less than 50 pages, submit the image copy as part of the Specification
TXT files take approximately two days to show up in Private PAIR under the “Supplemental Content” tab

**“****Computer Listing”, “Sequence Listing (Text File)”, and “Table in text format” **
- Text files are for these document descriptions only
- Use “Sequence Listing” for image copy of sequence listing
- Table TXT files should be a minimum of 50 pages
- If your table TXT file is less than 50 pages, submit the image copy as part of the Specification
- TXT files take approximately two days to show up in Private PAIR under the “Supplemental Content” tab

**Text Files**

**Notes:**
-The following document descriptions are for text files only.  If these document descriptions are used for PDF files an error message will be returned upon validation.

## Sequence Listings

**Sequence Listings – New Application**
- Only the text file (CRF/TXT) needs to be submitted
- Use “Sequence Listing (Text File)” under Category “Application Part”
- If submitting the image copy in PDF format, make sure to also include the statement indicating that the image copy and the CRF/TXT are the same
- Index the image copy as “Sequence Listing”
- Index the statement as “CRF Statement Paper and CRF are the same”
- Appendix should be in PDF format, _not_ TXT

**Notes:**
Only the text file (CRF/TXT) needs to be submitted
If submitting the image copy in PDF format, make sure to also include the statement indicating that the image copy and the CRF/TXT are the same.

Please follow the indexing guidelines provided.

## Continuation Applications

**Continuation, Continuation-in-part (CIP), and Divisional Application – Each one must be filed as a New Application**
- Same indexing requirements as a new application – “Specification”, “Claims”, “Drawings”, etc.
- Differences in document content
- Indicate domestic priority of parent application on ADS or the first line of the specification
- Indicate continuity type on first line of the specification
**CPA – Continued Prosecution Application**
- Not to be confused with CIP
- Inapplicable to utility and plant applications filed on or after May 29, 2000
- CPA practice is still applicable for Design Applications
- Comparison chart of CPA vs. RCE practice: http://www.uspto.gov/web/offices/dcom/olia/aipa/comparison_of_cpa_practice.htm

**Notes:**
-Continuation, Continuation-in-part (CIP), and Divisional are all considered new applications and follow the same requirements as a regular application.

-The differences are related to document content.  (e.g the domestic priority/continuity data should be indicated in your ADS and/or Specification)

-A CPA should not be confused with a CIP.  CPA is considered as a follow on submission and is only applicable in design applications.

## Common Indexing Questions

## How do I Index?

**How do I index:**** **
- A Request to Reset the Time Period for Reply due to Error(s) in the Office Action pursuant to MPEP 710.06:
- Index as “Petition for review by Technology Center SPRE”
- A Response to a Request for Rehearing by the Examiner:
- Index as “Reply Brief filed”
- A communication meant to prove a document was mailed to the USPTO, e.g., if relying on a post card receipt as prima facie evidence that the document was filed as of the date on the post card receipt?
- Index as “Petition for review by Office of Petitions” (In this case, it is a petition under 37 CFR 1.181.)

**Notes:**
-Go off slides

## How do I Index?

**How do I index:**** **
- A Reconsideration of Patent Term Adjustment:
- Index as “Petition for Review by Office of Petitions”
- A Change of Address for an International Application filed in the US Receiving Office (PCT):
- Index as “Request for Recording of a Change/PCT Rule 92bis”, under Category “PCT-Change Request”

**Notes:**
-Go off slides

## How do I index:
Power of Attorney with a new (or existing) Application filing:
Index as “Power of Attorney” under the “Change Requests” Category
If Power of Attorney is combined with Oath, index as “Oath or Declaration Filed” Category “Application Part” 
Pre-Brief Conference Request to be sent to the Examiner or the BPAI:
Index as “Pre-Brief Conference Request” under the “BPAI” Category 
A Request for Entity Status Change:
Index as “Miscellaneous Incoming Letter” 
A Response to an Examiner's Rejection without an Amendment:
Index as “Applicant Arguments or Remarks Made in an Amendment”

- Power of Attorney with a new (or existing) Application filing:
- Index as “Power of Attorney” under the “Change Requests” Category
- If Power of Attorney is combined with Oath, index as “Oath or Declaration Filed” Category “Application Part”
- Pre-Brief Conference Request to be sent to the Examiner or the BPAI:
- Index as “Pre-Brief Conference Request” under the “BPAI” Category
- A Request for Entity Status Change:
- Index as “Miscellaneous Incoming Letter”
- A Response to an Examiner's Rejection without an Amendment:
- Index as “Applicant Arguments or Remarks Made in an Amendment”

**How do I index?**

**Notes:**
-Go off slides

## Terminal Disclaimer 

**Do I need to submit the Terminal Disclaimer form?**
- The Terminal Disclaimer form or letter must be submitted along with the Terminal Disclaimer Fee
**Where is the Terminal Disclaimer Fee located?**
- On the “Calculate Fees” page, under the “Post Allowance and Post Issuance Fees” section
- Labeled as “Statutory disclaimer” fee

**Notes:**
-Go off slides

## What is the difference between Appeal Brief and Notice of Appeal?
Notice of Appeal is addressed in 37 CFR 41.31.
It is Indexed as “Notice of Appeal Filed”, under Category “BPAI”
Appeal Briefs are addressed in 37 CFR 41.37.
 It is Indexed as “Appeal Brief Filed”, under Category “BPAI”
Generally, an appellant may file a notice of appeal once his/her claims have been twice rejected. The Notice of Appeal must be filed within the time period provided under 37 CFR 1.134. 
Once the Notice of Appeal is filed, the appellant has two months to file the actual Appeal Brief, which includes the appellant's arguments, etc.

Requesting a Pre-Appeal Brief Conference
Must be filed at the time of filing the Notice of Appeal
Index as “Pre-Brief Conference Request”, under the Category of “BPAI”

- Notice of Appeal is addressed in 37 CFR 41.31.
- It is Indexed as “Notice of Appeal Filed”, under Category “BPAI”
- Appeal Briefs are addressed in 37 CFR 41.37.
-  It is Indexed as “Appeal Brief Filed”, under Category “BPAI”
- Generally, an appellant may file a notice of appeal once his/her claims have been twice rejected. The Notice of Appeal must be filed within the time period provided under 37 CFR 1.134.
- Once the Notice of Appeal is filed, the appellant has two months to file the actual Appeal Brief, which includes the appellant's arguments, etc.
**Requesting a Pre-Appeal Brief Conference**
- Must be filed at the time of filing the Notice of Appeal
- Index as “Pre-Brief Conference Request”, under the Category of “BPAI”

**Appeal**

**Notes:**
-The notice of appeal can be submitted  after the claims in an application have been rejected twice.
-An appeal brief is filed subsequent to a notice of appeal indicating the appellant’s arguments for appeal.

-If filing Pre-Brief Conference Request appeal it must be filed the same time that the notice of appeal is submitted.

-Use the indexing guidelines provided.

-Further information regarding the appeal documents, please refer to the 37 CFR rules found on the USPTO.gov site.

## Categories

**Do Categories affect indexing, backend processing, or handling of the documents?**** **
- No, they are provided simply for filtering the document description choices

**Notes:**
-read slide

## General Tips

**Extensions of Time**** **
- Must attach the appropriate form/letter in addition to paying the fees
- Index as “Extension of Time” under Category “General Transmittal”
**Issue Fee Payments**
- Must attach the appropriate form/letter in addition to paying the fees
- Index as “Issue Fee Payment Recorded (PTO-85B)” under Category “General Transmittal”
**Response to the Notice to File Missing Parts**
- A copy of the Notice is not required if filing through EFS-Web
- Index as “Applicant Response to Pre-Exam Formalities Notice”

**Notes:**
-read from slide

## Priority Document Exchange(PDX)

**Priority Document Exchange****(PDX)**

## Priority Document Exchange

- Provides for the direct office-to-office 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 (Japan Patent Office) began July 28, 2007**
**Free – No fees required**

**Priority Document Exchange**

**Notes:**
The PDX system was designed to simplify the Certified Ribbon copy exchange of Priority Document sharing between partnering IP Offices

Currently, the IP Offices participating in PDX are USPTO and EPO.  

By the end of the summer of 2007, exchange of priority documents with the Japan Patent Office (JPO) will be initiated.

There is no fee associated with retrieving a priority document from a participating Office or for transmitting a priority document to a participating Office 

Forms may be filed electronically via EFS Web or submitted through traditional means of mail or fax.

## Retrieving EPO/JPO Priority  Documents by the USPTO

- Express written instruction is _not_ required in this situation
**Written instruction (e.g., Form PTO/SB 38) is required to request retrieval of:**
- EPO Priority Document(s) for a U.S. application filed prior to June 4, 2007.
- Non-EPO (e.g., French) Priority Document that is of record in an EPO application
- JPO Priority Document(s) for a U.S. application filed prior to July 28, 2007.
- NOTE:  PDX _cannot_ be used to retrieve non-JPO (e.g., Korean) Priority Documents that are of record in a JPO application

**Retrieving EPO/JPO Priority  Documents by the USPTO**

**Notes:**
Applicants are able to make requests to the U.S. Patent and Trademark Office (USPTO) to electronically retrieve priority documents from the European Patent Office (EPO) by submitting the Form PTO/SB/38 entitled “Request to Retrieve Electronic Priority Application(s)” to the USPTO. 

The form and instructions can be found on the USPTO site.

You can track your documents and see what has been retrieved by the receiving office in Private PAIR.

## Retrieving EPO/JPO Priority  Documents by the USPTO (con’t)

**Form and instructions are available at** http://www.uspto.gov/web/forms/sb0038.pdf
- ‘Request for USPTO to retrieve priority documents’ under category “Priority Documents” in EFS-Web
**Monitor Private PAIR to determine whether priority documents have been successfully retrieved**
- Status of retrieval will be indicated in Examiner’s Office action
- PTOL-326 (Office Action Summary), item 12
- PTOL-37 (Notice of Allowability), item 3
**NOTE:  Requests filed after mailing of Notice of Allowability will be processed but timely retrieval (37 CFR 1.55(a)(2)) cannot be guaranteed.**

## Releasing USPTO Priority  Documents to the EPO/JPO

- The U.S. application is published or patented;
- The applicant submitted written authorization (Form PTO/SB/39) to transmit the Priority Document to the EPO/JPO, and the U.S. application has cleared national security review
**Form and instructions are available at** http://www.uspto.gov/web/forms/sb0039.pdf
- Index as “Authorization to Access application by trilateral office” in EFS-Web
**Check the EPO (http://www.epo.org) and JPO (http://www.jpo.go.jp) web sites for information on their practices**

**Releasing USPTO Priority  Documents to the EPO/JPO**

**Notes:**
If the USPTO has been authorized to do so by the applicant, PDX can electronically deliver a certified copy of a US application as-filed to the EPO thereby perfecting applicant’s priority claim in that IP Office.  Such authorization my be easily provided by submitting the Form PTO/SB/39 entitled “Authorization to Permit Access to Application by Participating Office” with the USPTO. 
The form and instructions can be found on the USPTO site.

The USPTO will release your documents if the application has been published or the applicant gave the USPTO authorization to do so.

## How to submit PDX Request

**Request can be submitted **
- electronically
- faxed to the Central Fax number (571-273-8300)
- mailed to:
**Commissioner of Patents**
**P.O. Box 1450**
**Alexandria VA 22313-1450**

**How to submit PDX Request**

**Notes:**
You can submit a PDX request at the time of your filing or as a follow-on document.

Simply fill out SB38 while preparing application documents to allow the USPTO to retrieve application information from the Foreign Patent Office

Submit SB39 to AUTHORIZE the Foreign Patent Office to retrieve application information from the USPTO

Your request can be faxed or mailed.

## 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/efs/rules_doc_codes.htm _

## Indexing Tutorials

**Available at http://www.uspto.gov/ebc/portal/tutorials.htm**
- Covers this presentation’s indexing scenarios in detail
**Accelerated Examination Tutorial – available at http://www.uspto.gov/web/patents/accelerated/**
**PCT Tutorial **
**	****http://www.uspto.gov/ebc/portal/efs/dct_pct_file_new_tutorial.pdf**
**Request to Update a PCT Application With a Customer Number**** Tutorial http://www.uspto.gov/ebc/documents/assoc_pct_with_cust_number.pdf**

**Notes:**
Per Don’s E-mail

## 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)**

## Additional Resources

**Inventor’s Assistance Center (IAC)**
- Questions on patent rules, practices, and procedures
- Call 800-PTO-9199 (800-786-9199) or 571-272-1000
- Available Monday – Friday 8:30 AM – 5:30 PM (EST)
- http://www.uspto.gov/web/offices/pac/dapp/pacmain.html
**PCT Helpdesk**
- Questions related to PCT filings – rules, practices, procedures
- Call 571-272-4300
- Available Monday – Friday 9:00 AM – 4:30 PM (EST)

## Additional Resources

**Office of Initial Patent Examination (OIPE)**
- 571-272-4000
**Assignment Division **
- 571-272-3350
**Office of Petitions**
- 571-272-3282
**Publishing Division **
- 571-272-4200 or 888-786-0101

## USPTO Support

**Patent Process Inquiries**
- Inventors Assistance Center 1800-786-9199
**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**Business Center 1-866-217-9197**Appeals/Interferences**
- Board of Patent Appeals and Interferences 571-272-9797
**Publications**
- Office of Publications 1888-786-0101
- Pre-grant Publications703-605-4283
**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**
- See Appropriate Patent Technology Center

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

## Thank you for attending