MPEP § 502 — MPEP § 502
Current through: 2022-07-01

502-Depositing Correspondence 
 
 

 
 
 
 
 
 
 
 

 

 
 
 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

 
 
 
 
 

 
 
 
 
 
 
 
 
 
 
 

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 Manual of Patent Examining Procedure 

 Chapter 0500 

 Section 502 
 

 
 
 
 
 
 502 Depositing Correspondence [R-01.2024]

 
 37 CFR 1.5 Identification of patent, patent application, or patent-related
 proceeding. 

 
 (a) No correspondence relating to an application should be filed prior
 to receipt of the assigned application number (i.e., U.S. application number,
 international application number, or international registration number as
 appropriate). When correspondence directed to the Patent and Trademark Office
 concerns a previously filed application for a patent, it must identify on the top
 page in a conspicuous location, the application number (consisting of the series
 code and the serial number; e.g., 07/123,456), or the serial number and filing
 date assigned to that application by the Patent and Trademark Office, or the
 international application number of the international application, or the
 international registration number of an international design application. Any
 correspondence not containing such identification will be returned to the sender
 where a return address is available. The returned correspondence will be
 accompanied with a cover letter which will indicate to the sender that if the
 returned correspondence is resubmitted to the Patent and Trademark Office within
 two weeks of the mail date on the cover letter, the original date of receipt of
 the correspondence will be considered by the Patent and Trademark Office as the
 date of receipt of the correspondence. Applicants may use either the Certificate
 of Mailing or Transmission procedure under § 1.8 or the Priority Mail
 Express ® procedure under § 1.10 for
 resubmissions of returned correspondence if they desire to have the benefit of the
 date of deposit in the United States Postal Service. If the returned
 correspondence is not resubmitted within the two-week period, the date of receipt
 of the resubmission will be considered to be the date of receipt of the
 correspondence. The two-week period to resubmit the returned correspondence will
 not be extended. In addition to the application number, all correspondence
 directed to the Patent and Trademark Office concerning applications for patent
 should also state the name of the first listed inventor, the title of the
 invention, the date of filing the same, and if known, the group art unit or other
 unit within the Patent and Trademark Office responsible for considering the
 correspondence and the name of the examiner or other person to which it has been
 assigned.
 

 (b) When the letter concerns a patent other than for purposes of
 paying a maintenance fee, it should state the number and date of issue of the
 patent, the name of the patentee, and the title of the invention. For letters
 concerning payment of a maintenance fee in a patent, see the provisions of
 §
 1.366(c) .
 

 (c) Correspondence relating to a trial proceeding before the Patent
 Trial and Appeal Board (part 42 of this title) are governed by §
 42.6 of this title. 
 

 (d) A letter relating to a reexamination or supplemental examination
 proceeding should identify it as such by the number of the patent undergoing
 reexamination or supplemental examination, the request control number assigned to
 such proceeding, and, if known, the group art unit and name of the examiner to
 which it been assigned.
 

 (e) [Reserved]

 (f) When a paper concerns a provisional application, it should
 identify the application as such and include the application number.
 

 
 

 
 37 CFR 1.6 Receipt of correspondence. 

 
 (a) Date of receipt and Priority Mail Express ® 
 date of deposit. Correspondence received in the Patent and Trademark
 Office is stamped with the date of receipt except as follows:
 
 (1) The Patent and Trademark Office is not open for the filing
 of correspondence on any day that is a Saturday, Sunday, or Federal holiday
 within the District of Columbia. Except for correspondence transmitted by
 facsimile under paragraph (a)(3) of this section, or filed electronically
 under paragraph (a)(4) of this section, no correspondence is received in the
 Office on Saturdays, Sundays, or Federal holidays within the District of
 Columbia.
 

 (2) Correspondence filed in accordance with § 1.10 
 will be stamped with the date of deposit as Priority Mail
 Express ® with the United States Postal
 Service.
 

 (3) Correspondence transmitted by facsimile to the Patent and
 Trademark Office will be stamped with the date on which the complete
 transmission is received in the Patent and Trademark Office unless that date
 is a Saturday, Sunday, or Federal holiday within the District of Columbia,
 in which case the date stamped will be the next succeeding day which is not
 a Saturday, Sunday, or Federal holiday within the District of Columbia.
 

 (4) Correspondence may be submitted using the USPTO patent
 electronic filing system only in accordance with the USPTO patent electronic
 filing system requirements. Correspondence officially submitted to the
 Office by way of the USPTO patent electronic filing system will be accorded
 a receipt date, which is the date in Eastern Time when the correspondence is
 received in the Office, regardless of whether that date is a Saturday,
 Sunday, or Federal holiday within the District of Columbia.
 

 
 

 (b) [Reserved]

 (c) Correspondence delivered by hand. In addition to being mailed,
 correspondence may be delivered by hand during hours the Office is open to receive
 correspondence.
 

 (d) Facsimile transmission. Except in the cases enumerated below,
 correspondence, including authorizations to charge a deposit account, may be
 transmitted by facsimile. The receipt date accorded to the correspondence will be
 the date on which the complete transmission is received in the United States
 Patent and Trademark Office, unless that date is a Saturday, Sunday, or Federal
 holiday within the District of Columbia. See paragraph (a)(3) of this section. To
 facilitate proper processing, each transmission session should be limited to
 correspondence to be filed in a single application or other proceeding before the
 United States Patent and Trademark Office. The application number of a patent
 application, the control number of a reexamination or supplemental examination
 proceeding, the interference number of an interference proceeding, the trial
 number of a trial proceeding before the Board, or the patent number of a patent
 should be entered as a part of the sender's identification on a facsimile cover
 sheet. Facsimile transmissions are not permitted and, if submitted, will not be
 accorded a date of receipt in the following situations:
 
 (1) [Reserved];

 (2) Certified documents as specified in § 1.4(f) ;
 

 (3) Correspondence that cannot receive the benefit of the
 certificate of mailing or transmission as specified in § 1.8(a)(2)(i)(A) through
 (D),(F), (I), and (K) , and § 1.8(a)(2)(iii)(A) , except that a continued
 prosecution application under § 1.53(d) may be
 transmitted to the Office by facsimile;
 

 (4) Color drawings submitted under §§
 1.81 , 1.83 through
 1.85 , 1.152 , 1.165 ,
 1.173 , 1.437 , or
 1.1026 ;
 

 (5) A request for reexamination under § 1.510 or § 1.913 , or a request
 for supplemental examination under §
 1.610 ;
 

 (6) Correspondence to be filed in an application subject to a
 secrecy order under §§ 5.1 through
 5.5 of this chapter and directly related to the
 secrecy order content of the application;
 

 (7) In contested cases and trials before the Patent Trial and
 Appeal Board, except as the Board may expressly authorize.
 

 
 

 (e) [Reserved]

 (f) Facsimile transmission of a patent application under § 1.53(d) . In the event that the Office has no
 evidence of receipt of an application under § 1.53(d) (a continued
 prosecution application) transmitted to the Office by facsimile transmission, the
 party who transmitted the application under § 1.53(d) may petition the
 Director to accord the application under § 1.53(d) a filing date as of
 the date the application under § 1.53(d) is shown to have
 been transmitted to and received in the Office,
 
 (1) Provided that the party who transmitted such application
 under §
 1.53(d) :
 
 (i) Informs the Office of the previous transmission of the
 application under § 1.53(d) promptly
 after becoming aware that the Office has no evidence of receipt of the
 application under § 1.53(d) ;
 

 (ii) Supplies an additional copy of the previously
 transmitted application under § 1.53(d) ; and
 

 (iii) Includes a statement which attests on a personal
 knowledge basis or to the satisfaction of the Director to the previous
 transmission of the application under § 1.53(d) and is accompanied by a copy of the
 sending unit’s report confirming transmission of the application under
 §
 1.53(d) or evidence that came into being after
 the complete transmission and within one business day of the complete
 transmission of the application under § 1.53(d) .
 

 
 

 (2) The Office may require additional evidence to determine if
 the application under § 1.53(d) was
 transmitted to and received in the Office on the date in question.
 

 
 

 (g) Submission of the national stage correspondence required by
 §
 1.495 via the USPTO patent electronic filing
 system. In the event that the Office has no evidence of receipt of
 the national stage correspondence required by § 1.495 , which was submitted
 to the Office by the USPTO patent electronic filing system, the party who
 submitted the correspondence may petition the Director to accord the national
 stage correspondence a receipt date as of the date the correspondence is shown to
 have been officially submitted to the Office.
 
 (1) The petition of this paragraph (g) requires that the party
 who submitted such national stage correspondence: 
 
 (i) Informs the Office of the previous submission of the
 correspondence promptly after becoming aware that the Office has no
 evidence of receipt of the correspondence under §
 1.495 ; 
 

 (ii) Supplies an additional copy of the previously
 submitted correspondence; 
 

 (iii) Includes a statement that attests on a personal
 knowledge basis, or to the satisfaction of the Director, that the
 correspondence was previously officially submitted; and 
 

 (iv) Supplies a copy of an acknowledgment receipt generated
 by the USPTO patent electronic filing system, or equivalent evidence,
 confirming the submission to support the statement of paragraph
 (g)(1)(iii) of this section. 
 

 
 

 (2) The Office may require additional evidence to determine if
 the national stage correspondence was submitted to the Office on the date in
 question.
 

 
 

 
 

 All applications (provisional and nonprovisional) may be sent to the U.S.
 Patent and Trademark Office by mail using the United States Postal Service (see
 MPEP §
 501 ), or they may be hand-carried to the Customer Service Window
 in Alexandria, Virginia. However, applicants should consider filing new patent applications
 (as well as patent-related correspondence) via the USPTO patent electronic filing system
 whenever permitted. See the USPTO Online Filing webpage for additional information on the
 USPTO patent electronic filing system ( www.uspto.gov/patents/apply ).
 See also MPEP §
 502.05 . New applications cannot be transmitted by
 facsimile and are not entitled to the benefit of a Certificate of Transmission
 under 37 CFR
 1.8 . A request for a continued prosecution application (CPA) filed
 under 37 CFR
 1.53(d) (available only for design applications) may be transmitted
 to the Office by facsimile ( 37 CFR 1.6(d)(3) ); however, it is not
 entitled to the benefit of a Certificate of Transmission (see 37 CFR
 1.8(a)(2)(i)(A) ). See 37 CFR 1.6(d) and MPEP § 502.01 .
 

 See 37 CFR 2.190 and MPEP § 501 for addresses pertaining to
 trademark correspondence.
 

 All correspondence related to a national patent application already filed
 with the U.S. Patent and Trademark Office must include the identification of the
 application number or the serial number and the filing date assigned to the application by
 the Office. Any correspondence not containing the proper identification set forth in
 37 CFR
 1.5(a) will be returned to the sender by the Office of Patent
 Application Processing (OPAP). Each paper should be inspected to assure that the papers
 being returned contain an “Office Date” stamp indicating the date of receipt. If there is a
 minor obvious error in the identification of the application such that the Office readily
 recognizes both the existence of the error and the appropriate correction, the error can be
 corrected by the Office. The Office often experiences difficulty in matching incoming
 papers with the application file to which they pertain because insufficient or erroneous
 information is given. This applies especially to amendments, powers of attorney, changes of
 address, status letters, petitions for extension of time, and other petitions.
 

 It would be of great assistance to the Office if all 
 incoming papers pertaining to a filed application carried the following items:
 

 
 (A) Application number (checked for accuracy, including series code and
 serial no.).
 

 (B) Art Unit number (copied from most recent Office communication).

 (C) Filing date.

 (D) Name of the examiner who prepared the most recent Office action.

 (E) Title of invention.

 (F) Confirmation number (see MPEP §
 503 ).
 

 
 Applicants may be reminded of this by including form paragraph 5.01.

 ¶ 5.01 Proper Heading for Incoming Papers

 It would be of great assistance to the Office if all incoming papers pertaining to a filed application carried the following
 items:
 

 1. Application number
 (checked for accuracy, including series code and serial no.).
 

 2. Art Unit number (copied from most recent Office communication).

 3. Filing date.

 4. Name of the examiner who prepared the most recent Office action.

 5. Title of invention.

 6. Confirmation number (see MPEP §
 503 ).
 

 

 The Office prefers identifying indicia to be provided on the drawings. If
 such identifying indicia is provided, it must be placed on the front of each sheet of
 drawings within the top margin. See 37 CFR 1.84(c) . The identifying indicia
 should include the title of the invention, inventor’s name, application number, and
 confirmation number (see MPEP § 503 ). If the Office has not yet
 assigned an application number and confirmation number to the application, the docket
 number (if any) used by the applicant to track the application should be provided.
 

 When the Office receives replacement sheets of drawings for patent
 applications after the application has been filed, a cover letter identifying the drawings
 by application number should accompany them. The application number and other identifying
 indicia should be placed on each sheet of drawings in accordance with 37 CFR 1.84(c) . Each
 drawing sheet submitted after the filing date of the application must be identified as
 either 
 "Replacement Sheet"
 
 
 or
 
 "New Sheet"
 
 
 pursuant to
 37 CFR
 1.121(d) .
 

 It is requested that the submission of additional or supplemental papers on
 a newly filed application be deferred until an application number has been received. 
 

 Documents which have no particular time or order of submission requirements
 should be filed in the Office with materials submitted in reply to the statutory or
 regulatory requirements. Examples are certified copies of foreign documents to support
 priority in patent applications, changes of power of attorney, or changes in mailing
 address following first action.
 

 All letters relating to a reexamination proceeding should identify the
 proceeding involved by patent number and reexamination request control number.
 

 All letters relating to a supplemental examination proceeding
 should identify the proceeding involved by patent number and supplemental examination
 request control number. 
 

 I. PRIORITY MAIL EXPRESS ® SERVICE The addresses that should be used for Priority Mail
 Express ® sent to the U.S. Patent and Trademark Office are
 set forth in 37 CFR
 1.1 (see MPEP § 501 ).
 

 The Office does not have resources for picking up any mail.
 Therefore mail should NOT be sent using the “Hold for Pickup” service option (whereby
 the mail is retained at the destination postal facility for retrieval by the addressee).
 Mail sent using the “Hold for pickup” service will not reach the Office.
 

 See MPEP §
 513 for the use of the Priority Mail
 Express ® mailing procedures of 37 CFR 1.10 . 
 

 II. POST ALLOWANCE CORRESPONDENCE All post allowance correspondence, except for petitions under
 37 CFR
 1.313(c) , should be addressed “Mail Stop Issue Fee.” Any petition
 filed under 37 CFR
 1.313(c) to withdraw an application from issue after payment of
 the issue fee should be clearly marked “Petition under 37 CFR 1.313(c) ”
 and be either filed as a Web-based ePetition (see www.uspto.gov/Epetitions ),
 hand-carried to the Office of Petitions or submitted by facsimile to the Office of
 Petitions at (571) 273-0025. See MPEP § 1308 , subsection I.B. All other
 types of petitions, if transmitted by facsimile transmission to the Office, must be
 directed to the central facsimile number ((571) 273-8300).
 

 Any paper filed after receiving the Issue notification should include
 the indicated patent number. 
 

 As there is a limited amount of time between the payment of the issue
 fee and issuance of a patent, all post allowance correspondence should be filed prior to
 the date of issue fee payment to ensure the papers reach the appropriate USPTO official
 for consideration before the date the application issues as a patent. See
 MPEP §
 2732 for a discussion of the patent term adjustment impact of
 submitting amendments or other papers after a notice of allowance has been mailed.
 

 If the above suggestions are adopted, the processing of both new and
 allowed applications could proceed more efficiently and promptly through the U.S. Patent
 and Trademark Office.
 

 III. HAND-DELIVERY OF PAPERS No official paper which relates to a pending application may be
 personally delivered to a TC except papers that are directed to an application subject
 to a secrecy order pursuant to 35 U.S.C. 181 , or are national
 security classified and that are directed to Licensing and Review. All official patent
 application related correspondence for organizations reporting to the Commissioner for
 Patents (e.g., TCs, the Office of Data Management, and the Office of Petitions) that is
 hand-carried (or delivered by other delivery services) must be delivered to the Customer
 Service Window in Alexandria, Virginia, with a few exceptions. For filings with the
 Patent Trial and Appeal Board, please contact Trials@uspto.gov or call 571-272-7288.
 

Correspondence for Which Centralized Delivery of Hand-Carried
 Papers Is Not Required
 The following types of patent application related correspondence may
 be delivered to the specific location where they are processed instead of the
 Customer Service Window. Before hand-carrying papers to a specific location or a
 particular office within the USPTO, the office should be called to obtain its current
 location. Applicants should check the USPTO website for the current telephone number.
 Any such correspondence carried to the Customer Service Window will be accepted and
 routed to the appropriate office, thereby incurring a delay before being processed.
 Correspondence which is not related to a specific patent or patent application, such
 as questions on policy, on employment, or other general inquiry may be hand-carried
 to the current designated locations depending on the substance of the
 correspondence.
 

 
 (A) Access Requests - Requests for access to patent application
 files, including files that are maintained in the Image File Wrapper and have
 not yet been published, may be directed to the Patent and Trademark Copy
 Fulfillment Branch’s Certified Copy Center (CCC) that can be found at
 www.uspto.gov/CertifiedCopyCenter . 
 

 (B) Office of General Counsel or Solicitor’s Office -
 Correspondence for the Office of General Counsel or Solicitor’s Office may be
 hand-carried to Room 10C18 of the Madison East Building, 600 Dulany Street,
 Alexandria, VA 22314 between the hours of 9:00 am and 5:00 pm ET. At the guard
 station in Madison East, the security guard should call the Office of General
 Counsel at (571) 272-7000 for delivery assistance.
 

 (C) Secrecy Order - Applications subject to a secrecy order
 pursuant to 
 35 U.S.C. 181 , or that are national security classified,
 and correspondence related thereto, may be hand-carried to Licensing and Review
 in Room 4B31 of the Knox Building, 501 Dulany Street, Alexandria, VA 22314. At
 the guard station in Knox, the security guard should call Licensing and Review
 at (571) 272-8203 for delivery assistance.
 

 (D) Expedited Foreign Filing License Petitions - Petitions for
 foreign filing license pursuant to 37 CFR 5.12(b) for which
 expedited handling is requested and petitions for retroactive license under
 37 CFR
 5.25 may be hand-carried to a drop-off box located at the
 guard station at the lobby of the Knox Building, 501 Dulany Street, Alexandria,
 VA 22314. Upon approaching the guard station, the delivery personnel should
 state their desire to drop off the request. Correspondence packages will be
 inspected/scanned before being placed in the drop-off box. All requests should
 identify a fax number, telephone number and mailing address. All responses to
 the request will be sent by fax, followed by a mailed copy. If a fax number is
 not available, a hardcopy will be mailed to the mailing address provided.
 

 (E) Petitions to Withdraw from Issue and Petitions to Defer Issuance of
 Patents - Petitions to withdraw from issue may be hand-carried to
 the Office of Petitions on the 7 th floor of the
 Madison West Building, 600 Dulany Street, Alexandria, VA 22314. At the guard
 station in Madison West, the security guard should call the Office of Petitions
 at (571) 272-3282 for delivery assistance. Hand-carried papers will be accepted
 between the hours of 8:30 am to 3:45 pm.
 

 (F) Office of Enrollment and Discipline (OED) – Correspondence
 for the Office of Enrollment and Discipline may be hand-carried to the
 receptionist at Room 8C43-B of the Madison West Building, 600 Dulany Street,
 Alexandria, VA 22314. At the guard station in Madison West, the security guard
 should call the Office of Enrollment and Discipline at 571-272-4097 for
 delivery assistance.
 

 (G) Office of Finance – Refund requests, deposit account
 replenishments, and maintenance fee payments may be hand-carried to the Office
 of Finance receptionist in Suite 300 of the Carlyle Place Building, 2051
 Jamieson Ave., Alexandria, VA 22314. Hand-carried correspondence will only be
 accepted, and not processed. Although the receptionist will not process any
 correspondence, if the correspondence is delivered with an itemized postcard,
 the receptionist will provide a delivery receipt by date stamping the postcard.
 Depending on whether the correspondence is a refund request, deposit account
 related (e.g., a deposit account replenishment), or maintenance fee related
 (e.g., a maintenance fee payment), the correspondence should be placed in an
 envelope with REFUND, DEPOSIT ACCOUNT, or MAINTENANCE FEE written in dark ink
 across the envelope.
 

 
 
 502.01 Correspondence Transmitted by Facsimile [R-01.2024]

 
 37 CFR 1.6 Receipt of correspondence. 

 *****

 
 (d) Facsimile transmission. Except in the cases enumerated
 below, correspondence, including authorizations to charge a deposit account,
 may be transmitted by facsimile. The receipt date accorded to the
 correspondence will be the date on which the complete transmission is received
 in the United States Patent and Trademark Office, unless that date is a
 Saturday, Sunday, or Federal holiday within the District of Columbia. See
 paragraph (a)(3) of this section. To facilitate proper processing, each
 transmission session should be limited to correspondence to be filed in a
 single application or other proceeding before the United States Patent and
 Trademark Office. The application number of a patent application, the control
 number of a reexamination or supplemental examination proceeding, the
 interference number of an interference proceeding, the trial number of a trial
 proceeding before the Board, or the patent number of a patent should be entered
 as a part of the sender's identification on a facsimile cover sheet. Facsimile
 transmissions are not permitted and, if submitted, will not be accorded a date
 of receipt in the following situations:
 
 (1) [Reserved];

 (2) Certified documents as specified in § 1.4(f) ;
 

 (3) Correspondence which cannot receive the benefit of the
 certificate of mailing or transmission as specified in § 1.8(a)(2)(i)(A)
 through (D), (F), (I) and (K) , § 1.8(a)(2)(iii)(A) , except that a continued
 prosecution application under § 1.53(d) may be
 transmitted to the Office by facsimile;
 

 (4) Color drawings submitted under §§
 1.81 , 1.83 through
 1.85 , 1.152 ,
 1.165 , 1.173 ,
 1.437 , or 1.1026 ;
 

 (5) A request for reexamination under § 1.510 or § 1.913 or a request
 for supplemental examination under §
 1.610 ;
 

 (6) Correspondence to be filed in an application subject to a
 secrecy order under §§ 5.1 through
 5.5 of this chapter and directly related to the
 secrecy order content of the application;
 

 (7) In contested cases and trials before the Patent Trial and
 Appeal Board, except as the Board may expressly authorize.
 

 
 

 
 *****

 

 The date of receipt accorded to any correspondence permitted to be sent
 by facsimile transmission, including a continued prosecution application (CPA) filed
 under 37 CFR
 1.53(d) , (available for design applications only) is the date the
 complete transmission is received by an Office facsimile unit, unless the transmission
 is completed on a Saturday, Sunday, or Federal holiday within the District of Columbia.
 Correspondence for which transmission was completed on a Saturday, Sunday, or Federal
 holiday within the District of Columbia, will be accorded a receipt date of the next
 succeeding day which is not a Saturday, Sunday, or Federal holiday within the District
 of Columbia. For example, a facsimile transmission to the Office from California
 starting on a Friday at 8:45 p.m. Pacific time and taking 20 minutes, would be completed
 at 9:05 p.m. Pacific time. The complete transmission would be received in the Office
 around 12:05 a.m. Eastern time on Saturday. The receipt date accorded to the
 correspondence is the date of the following business day, which in this case, would be
 Monday (assuming that Monday was not a Federal holiday within the District of Columbia).
 Note, however, that if the Certificate of Transmission is available (for documents not
 proscribed by 37 CFR
 1.8(a)(2) ), then the above facsimile may be considered timely
 filed on Friday if it contains a Certificate of Transmission and is in compliance with
 37 CFR
 1.8(a)(1)(i)(B) and (ii) .
 

 37 CFR
 1.6(d) specifies the types of correspondence which may be
 transmitted by facsimile. These would include CPAs filed under 37 CFR 1.53(d) 
 (available for design applications only), amendments, declarations, petitions,
 information disclosure statements (IDS), terminal disclaimers, notices of appeal and
 appeal briefs, requests for continued examination (RCEs) under 37 CFR 1.114 ,
 assignment documents, issue fee transmittals and authorizations to charge deposit
 accounts. The situations where transmissions by facsimile are prohibited are identified
 in 37 CFR
 1.6(d)(2)-(7) . Prohibitions cover situations where originals are
 required as specified in 37 CFR 1.4(f) , and situations where
 accepting a facsimile transmission would be unduly burdensome on the Office. As a
 courtesy, the Office will attempt to notify senders whenever correspondence is sent to
 the Office by facsimile transmission that falls within one of the prohibitions. Senders
 are cautioned against submitting correspondence by facsimile transmission which is not
 permitted under 37 CFR
 1.6(d) since such correspondence will not be accorded a receipt
 date. 
 

 An applicant filing a CPA (available for a design application only) by
 facsimile transmission must include an authorization to charge the basic filing fee to a
 deposit account or to a credit card, or the application will be treated under
 37 CFR
 1.53(f) as having been filed without the basic filing fee (as fees
 cannot otherwise be transmitted by facsimile).
 

 There is a special receipt procedure for filing a CPA by fax, whereby
 the Office will fax back a receipt of the CPA filing if applicant submits the Office
 receipt form along with the CPA filing.
 

 
 37 CFR 1.6 Receipt of correspondence. 

 *****

 
 (f) Facsimile transmission of a patent application under § 1.53(d) . In the event that the Office has
 no evidence of receipt of an application under § 1.53(d) 
 (a continued prosecution application) transmitted to the Office by facsimile
 transmission, the party who transmitted the application under § 1.53(d) 
 may petition the Director to accord the application under § 1.53(d) 
 a filing date as of the date the application under § 1.53(d) 
 is shown to have been transmitted to and received in the Office,
 
 (1) Provided that the party who transmitted such application
 under §
 1.53(d) :
 
 (i) Informs the Office of the previous transmission of
 the application under § 1.53(d) 
 promptly after becoming aware that the Office has no evidence of
 receipt of the application under §
 1.53(d) ;
 

 (ii) Supplies an additional copy of the previously
 transmitted application under § 1.53(d) ;
 and
 

 (iii) Includes a statement which attests on a personal
 knowledge basis or to the satisfaction of the Director to the
 previous transmission of the application under § 1.53(d) and is accompanied by a copy of
 the sending unit’s report confirming transmission of the
 application under § 1.53(d) or
 evidence that came into being after the complete transmission and
 within one business day of the complete transmission of the
 application under § 1.53(d) .
 

 
 

 (2) The Office may require additional evidence to determine
 if the application under § 1.53(d) was
 transmitted to and received in the Office on the date in question.
 

 
 

 
 

 37 CFR
 1.6(f) provides for the situation in which the Office has no
 evidence of receipt of a CPA transmitted to the Office by facsimile transmission.
 37 CFR
 1.6(f) requires a petition be filed requesting that the CPA be
 accorded a filing date as of the date the CPA is shown to have been transmitted to and
 received in the Office. The showing must include, inter alia, a copy
 of the sending unit’s report confirming transmission of the application or evidence that
 came into being after the complete transmission of the application and within one
 business day of the complete transmission of the application. 
 

 I. CENTRALIZED FACSIMILE NUMBER FOR OFFICIAL PATENT APPLICATION RELATED
 CORRESPONDENCE 

 A. Central Number All patent application related correspondence transmitted by
 facsimile must be directed to the central facsimile number, with a few exceptions
 below. The central facsimile number is (571) 273-8300. Replies to Office actions
 including after-final amendments that are transmitted by facsimile must be
 directed to the central facsimile number. Correspondence such as draft proposed
 amendments for interviews may continue to be transmitted by facsimile to the
 Technology Centers (TCs) and should be made of record as part of the interview
 summary record. See MPEP § 713.04 . Office personnel should not use their
 personal facsimile numbers for official application related correspondence. Office
 personnel that inadvertently receive official application related correspondence
 on a personal facsimile number must either route (do not forward) the
 correspondence to the official central facsimile number or they may, with
 applicant’s (or applicant’s representative) permission, make the facsimile
 amendment part of an examiner’s amendment.
 

 B. Correspondence Which May Be Sent by Facsimile to Other Than the Central
 Facsimile Number For each Office location listed below, only the particular type of
 correspondence indicated may be transmitted to the specific facsimile number at
 that Office location. All other types of facsimile transmitted correspondence must
 be sent to the central facsimile number ((571) 273-8300).
 

 
 (1) International Patent Legal
 Administration. Responses to Decisions on Petition may be
 submitted by facsimile to (571) 273-0459.
 

 
 
 Note: An international application for patent or a copy
 of the international application and the basic national fee necessary to
 enter national stage, as specified in 37 CFR 1.495(b) , may
 not be submitted by facsimile. See
 37
 CFR 1.6(d)(3) (referencing 37 CFR 1.8(a)(2)(i)(D)
 and (F) ). Subsequent correspondence may be
 transmitted by facsimile in an application before the U.S. Receiving
 Office, the U.S. International Searching Authority, or the U.S.
 International Preliminary Examining Authority, but it will
 not receive the benefit of any certificate of
 transmission (or mailing). See 37 CFR
 1.8(a)(2)(i)(E) . Correspondence subsequent to
 filing in an international application before the U.S. Receiving Office,
 the U.S. International Searching Authority, or the U.S. International
 Preliminary Examining Authority may be submitted by facsimile to PCT
 Operations via the USPTO central facsimile number ((571) 273-8300).
 Correspondence filed during the national stage, subsequent to entry, is
 handled in the same manner as a U.S. national application. 
 

 

 
 -- PCT Help Desk contact information:
 
 Telephone number: (571) 272-4300. 

 Facsimile number: (571) 273-0419. 

 
 

 
 

 (2) Office of Data Management. Payment of
 an issue fee and any required publication fee by authorization to charge a
 deposit account or credit card, and drawings may be submitted to facsimile
 number (571) 273-2885. 
 
 Note: Although submission of drawings by facsimile may
 reduce the quality of the drawings, the Office will generally print the
 drawings as received.
 

 

 Office of Data Management telephone numbers to check on
 receipt of payment: (571) 272-4200 or 1-888-786-0101.
 

 

 (3) Electronic Business Center (EBC). 
 Requests for Customer Number Data Change (PTO/SB/124), and Requests for a
 Customer Number (PTO/SB/125) may be submitted via facsimile to (571)
 273-0177.
 
 Note: The EBC may also be reached by email at:
 ebc@uspto.gov. EBC telephone number for customer service and assistance:
 866-217-9197.
 

 

 

 (4) Assignment Recordation Branch. 
 Assignments or other documents affecting title may be submitted via
 facsimile to (571) 273-0140.
 
 Note: Only documents with an identified patent
 application or patent number, a single cover sheet to record a single
 type of transaction, and the fee paid by an authorization to charge a
 USPTO deposit account or credit card may be submitted via facsimile.
 Customers may submit documents directly into the automated Patent and
 Trademark Assignment System and receive the resulting recordation notice
 at their facsimile machine. (Assignment documents submitted through the
 Electronic Patent Assignment System also permit the recordation notice to
 be faxed to customers.) Credit card payments to record assignment
 documents are acceptable, and use of the Credit Card form (PTO-2038) is
 required for the credit card information to be separated from the
 assignment records. 
 

 

 Assignment Recordation Branch telephone number for
 assistance: (571) 272-3350.
 

 

 (5) Central Reexamination Unit (CRU). Ex
 parte and Inter partes reexamination correspondence, except for the initial
 request: (571) 273-9900 facsimile number. 
 
 Note: Correspondence related to reexamination
 proceedings will be separately scanned in the CRU. 
 

 

 CRU telephone number for customer service and
 inquiries: (571) 272-7705.
 

 

 (6) Patent Trial and Appeal Board. 
 Correspondence related to contested cases and trials permitted to be
 transmitted by facsimile (only where expressly authorized, see 37 CFR
 1.6(d)(7)): (571) 273-0042 facsimile number.
 

 (7) Office of the General Counsel.
 Correspondence permitted to be transmitted by facsimile to the
 Office of the General Counsel: (571) 273-0099 facsimile number. 
 

 (8) Office of the Solicitor. 
 Correspondence permitted to be transmitted by facsimile to the Office of the
 Solicitor: (571) 273-0373 facsimile number.
 

 (9) Licensing and Review. Petitions for
 a foreign filing license pursuant to 37 CFR 5.12(b), including a petition
 for a foreign filing license where there is no corresponding U.S.
 application (37 CFR 5.13): (571) 270-9959 (preferred) or (571) 273-0185
 facsimile number.
 
 Note: Correspondence to be filed in a patent application
 subject to a secrecy order under 37 CFR 5.1 to
 5.5 and directly related to the secrecy order
 content of the application may not be transmitted
 via facsimile. See 37 CFR 1.6(d)(6) .
 

 

 

 (10) Office of Petitions. Petitions to
 withdraw from issue and petitions to defer issuance of patents: (571)
 273-0025 facsimile number
 
 Note: All other types of petitions must be directed to
 the central facsimile number (571) 273-8300, with the exception of a
 request for a retroactive filing license, which should be directed to
 (571) 270-9959. Petitions sent to the central facsimile number should be
 marked "Special Processing Submission." 
 

 

 

 (11) Office of the Enrollment and Discipline.
 Correspondence permitted to be transmitted to the Office of the
 Enrollment and Discipline: (571) 273-0074 facsimile number.
 

 (12) Office of Finance. Refund requests,
 deposit account inquiries, and maintenance fee payments: (571) 273-6500
 facsimile number. Office of Finance telephone number for customer service
 and inquiries: (571) 272-6500.
 

 (13) Public Records Division. Requests
 for certified copies of Office records may be transmitted to: (571) 273-3250
 facsimile number. The Public Records Division's Patent and Trademark Copy
 Fulfillment Branch telephone number for customer service and inquiries:
 (571) 272-3150.
 

 II. CORRESPONDENCE RELATIVE TO PATENTS AND PATENT APPLICATIONS WHERE FILING BY
 FACSIMILE TRANSMISSION IS NOT PERMITTED As set forth in 37 CFR 1.6(d) , facsimile
 transmissions are not permitted and, if submitted, will not be accorded a date of
 receipt in the following situations:
 

 
 (A) A document that is required by statute to be certified (see
 37 CFR
 1.4(f) );
 

 (B) A national patent application specification and drawing
 (provisional or nonprovisional) or other correspondence for the purpose of
 obtaining an application filing date, other than a continued prosecution
 application filed under 37 CFR 1.53(d) ;
 

 (C) An international application for patent; 

 (D) An international design application;

 (E) A copy of the international application and the basic national
 fee necessary to enter the national stage, as specified in 37 CFR
 1.495(b) ; 
 

 (F) A third-party submission under 37 CFR
 1.290 ;
 

 (G) Correspondence relating to registration to practice before the
 Patent and Trademark Office in patent cases, enrollment and disciplinary
 investigations, or disciplinary proceedings;
 

 (H) Color drawings submitted under 37 CFR
 1.81 , 1.83 - 1.85 ,
 1.152 , 1.165 , 1.173 ,
 1.437 , or 1.1026 ;
 

 (I) A request for reexamination under 37 CFR
 1.510 or 37 CFR 1.913 ;
 

 (J) A request for supplemental examination under
 37 CFR 1.610 ;
 

 (K) Correspondence to be filed in a patent application subject to a
 secrecy order under 37 CFR 5.1 -
 5.5 and directly related to the secrecy order content of
 the application; and
 

 (L) Correspondence to be filed in a contested case or trial before
 the Patent Trial and Appeal Board, except as the Board may expressly authorize.
 
 

 
 Applicants are reminded that the facsimile process may reduce the
 quality of the drawings, and the Office will generally print the drawings as
 received.
 

 See MPEP § 1834.01 for a discussion concerning facsimile
 transmissions in PCT applications.
 

 

 
 502.02 Correspondence Signature Requirements [R-01.2024]

 
 37 CFR 1.4 Nature of correspondence and signature requirements. 

 *****

 
 (d)
 
 (1) Handwritten signature. A design patent practitioner
 must indicate their design patent practitioner status by placing the word
 “design” (in any format) adjacent to their handwritten signature. Each
 piece of correspondence, except as provided in paragraphs (d)(2) through
 (4), (e) and (f) of this section, filed in an application, patent file,
 or other proceeding in the Office that requires a person’s signature,
 must:
 
 (i) Be an original, that is, have an original
 handwritten signature personally signed, in permanent dark ink or
 its equivalent, by that person; or
 

 (ii) Be a direct or indirect copy, such as a photocopy
 or facsimile transmission ( § 1.6(d) ), of
 an original. In the event that a copy of the original is filed, the
 original should be retained as evidence of authenticity. If a
 question of authenticity arises, the Office may require submission
 of the original.
 

 
 

 (2) S-signature. An S-signature is a signature inserted
 between forward slash marks, but not a handwritten signature as defined
 by paragraph (d)(1) of this section. An S-signature includes any
 signature made by electronic or mechanical means, and any other mode of
 making or applying a signature other than a handwritten signature as
 provided for in paragraph (d)(1) of this section. Correspondence being
 filed in the Office in paper, by facsimile transmission as provided in
 §
 1.6(d) , or via the USPTO patent electronic filing
 system as an attachment as provided in §
 1.6(a)(4) , for a patent application, patent, or a
 reexamination or supplemental examination proceeding may be S-signature
 signed instead of being personally signed ( i.e., with
 a handwritten signature) as provided for in paragraph (d)(1) of this
 section. The requirements for an S-signature under this paragraph (d)(2)
 of this section are as follows.
 
 (i) The S-signature must consist only of letters, or
 Arabic numerals, or both, with appropriate spaces and commas,
 periods, apostrophes, or hyphens for punctuation, and the person
 signing the correspondence must insert his or her own S-signature
 with a first single forward slash mark before, and a second single
 forward slash mark after, the S-signature ( e.g., 
 /Dr. James T. Jones, Jr./); and
 

 (ii) A patent practitioner ( §
 1.32(a)(1) ), signing pursuant to
 § 1.33(b)(1) or
 (2) , must
 supply their registration number either as part of the S-signature,
 or immediately below or adjacent to the S-signature. The hash (#)
 character may only be used as part of the S-signature when
 appearing before a practitioner’s registration number; otherwise
 the hash character may not be used in an S-signature. A design
 patent practitioner must additionally indicate their design patent
 practitioner status by placing the word “design” (in any format)
 adjacent to the last forward slash of their S-signature.
 

 (iii) The signer’s name must be:
 
 (A) Presented in printed or typed form preferably
 immediately below or adjacent the S-signature, and
 

 (B) Reasonably specific enough so that the
 identity of the signer can be readily recognized.
 

 
 

 
 

 (3) Electronically submitted correspondence.
 Correspondence permitted via the USPTO patent electronic filing system
 may be signed by a graphic representation of a handwritten signature as
 provided for in paragraph (d)(1) of this section or a graphic
 representation of an S-signature as provided for in paragraph (d)(2) of
 this section when it is submitted via the USPTO patent electronic filing
 system.
 

 (4) Certifications—
 
 (i) Certification as to the paper
 presented. The presentation to the Office (whether by signing,
 filing, submitting, or later advocating) of any paper by a party,
 whether a practitioner or non-practitioner, constitutes a
 certification under § 11.18(b) of
 this subchapter. Violations of § 11.18(b)(2) 
 of this subchapter by a party, whether a practitioner or
 non-practitioner, may result in the imposition of sanctions under
 § 11.18(c) of
 this subchapter. Any practitioner violating §
 11.18(b) of this subchapter may also be
 subject to disciplinary action. See §
 11.18(d) of this subchapter.
 

 (ii) Certification as to the signature.
 The person inserting a signature under paragraph (d)(2) or (d)(3)
 of this section in a document submitted to the Office certifies
 that the inserted signature appearing in the document is his or her
 own signature. A person submitting a document signed by another
 under paragraph (d)(2) or (d)(3) of this section is obligated to
 have a reasonable basis to believe that the person whose signature
 is present on the document was actually inserted by that person,
 and should retain evidence of authenticity of the signature.
 Violations of the certification as to the signature of another or a
 person’s own signature as set forth in this paragraph may result in
 the imposition of sanctions under § 11.18(c) and
 (d) of this chapter.
 

 
 

 (5) Forms. The Office provides forms to the public to use
 in certain situations to assist in the filing of correspondence for a
 certain purpose and to meet certain requirements for patent applications
 and proceedings. Use of the forms for purposes for which they were not
 designed is prohibited. No changes to certification statements on the
 Office forms ( e.g., oath or declaration forms,
 terminal disclaimer forms, petition forms, and nonpublication request
 forms) may be made. The existing text of a form, other than a
 certification statement, may be modified, deleted, or added to, if all
 text identifying the form as an Office form is removed. The presentation
 to the Office (whether by signing, filing, submitting, or later
 advocating) of any Office form with text identifying the form as an
 Office form by a party, whether a practitioner or non-practitioner,
 constitutes a certification under § 11.18(b) of this
 chapter that the existing text and any certification statements on the
 form have not been altered other than permitted by EFS-Web
 customization.
 

 
 

 (e) [Reserved]

 (f) When a document that is required by statute to be certified
 must be filed, a copy, including a photocopy or facsimile transmission, of the
 certification is not acceptable.
 

 
 *****

 
 (h) Ratification/confirmation/evidence of authenticity: The
 Office may require ratification, confirmation (which includes submission of a
 duplicate document but with a proper signature), or evidence of authenticity of
 a signature, such as when the Office has reasonable doubt as to the
 authenticity (veracity) of the signature, e.g., where there
 are variations of a signature, or where the signature and the typed or printed
 name, do not clearly identify the person signing.
 

 
 

 Correspondence filed in the Office, which requires a person’s signature,
 may be filed with one of two types of signatures: (A) handwritten signature; and (B)
 
 "S-signature."
 
 
 See
 37 CFR
 1.4(d) . Additionally, pursuant to 37 CFR
 1.4(d)(3) , correspondence filed via the USPTO patent electronic
 filing system may be signed by a graphic representation of a handwritten signature as
 provided for in 37 CFR
 1.4(d)(1) or a graphic representation of an S-signature as
 provided for in 37 CFR
 1.4(d)(2) . A graphic representation of a handwritten signature may
 be created by using a stylus pen and/or touch-pad. All correspondence, except for a
 notice of appeal pursuant to 37 CFR 41.31 , filed in the Office
 must include a signature. See 37 CFR 1.4 , 1.33 , and
 11.18 .
 

 I. HANDWRITTEN SIGNATURE A person’s handwritten signature may be an original or a copy
 thereof. The word original, as used herein, is defined as correspondence which is
 personally signed in permanent dark ink or its equivalent by the person whose
 signature appears thereon. Dark ink or equivalent permits traditional ink and newer
 non-liquid gel type ink technologies. Since incoming correspondence is electronically
 stored and scanned as a black and white image, a dark color is required so that the
 scanned image is legible. Where copies of correspondence are acceptable, photocopies
 or facsimile transmissions may be filed. For example, a photocopy or facsimile
 transmission of an original of an amendment, declaration (e.g., under
 37 CFR
 1.63 or 1.67 ), petition, issue fee
 transmittal form, and authorization to charge a deposit account or a credit card may
 be submitted in a patent application. Where copies are permitted, second and further
 generation copies (i.e., copy of a copy) are acceptable. For example, a client may
 fax a paper to an attorney and the attorney may then fax the paper to the Office,
 provided the paper is eligible to be faxed (see MPEP § 502.01 ). The
 original, if not submitted to the Office, should be retained as evidence of proper
 execution in the event that questions arise as to the authenticity of the signature
 reproduced on the photocopy or facsimile-transmitted correspondence. If a question of
 authenticity arises, the Office may require submission of the original.
 

 37 CFR
 1.4(d)(1) covers all handwritten signatures. The requirement in
 37 CFR
 1.4(d)(1) of permanent dark ink or its equivalent relates to
 whether a handwritten signature is compliant and is not limiting on the type of
 handwritten signature that is covered by 37 CFR 1.4(d)(1) . Thus,
 37 CFR
 1.4(d)(1) would cover handwritten signatures in red ink or in
 pencil; although, under 37 CFR 1.4(d)(1) neither would be
 acceptable since red ink is not dark, and pencil is not permanent. A scanned image of
 a document that contains a handwritten signature filed via the USPTO patent
 electronic filing system is permitted as a copy under 37 CFR
 1.4(d)(1)(ii) . A signature applied by an electric or mechanical
 typewriter directly to paper is not a handwritten signature, which is applied by
 hand. Accordingly, if a typewriter applied signature is used, it must meet the
 requirements of 37
 CFR 1.4(d)(2) . Adding forward slashes to a handwritten (or
 hand-printed) ink signature that is personally applied will not cause the signature
 to be treated under 37 CFR 1.4(d)(2) . Such a signature will be treated under
 37 CFR
 1.4(d)(1) with the slashes ignored. The end product from a
 manually applied hand stamp or from a signature replication or transfer means (such
 as by pen or by screen) appears to be a handwritten signature, but is not actually
 handwritten, and would be treated under 37 CFR 1.4(d)(2) . An electronic
 reproduction of a handwritten signature, e.g., scanned, that is electronically
 applied to a document is not a personally signed original document under
 37 CFR
 1.4(d)(1)(i) and reproductions of such correspondence cannot be
 copies under 37 CFR
 1.4(d)(1)(ii) . A graphic representation of a handwritten
 signature as provided for in 37 CFR 1.4(d)(1) will be accepted
 when submitted via the USPTO patent electronic filing system, pursuant to
 37 CFR
 1.4(d)(3) .
 

 37 CFR 1.4(d)(1) further requires
 that a design patent practitioner must indicate their design patent practitioner
 status by placing the word “design” (in any format) adjacent to their handwritten
 signature.
 

 II. S-SIGNATURE The second type of signature is an S-signature. See 37 CFR
 1.4(d)(2) . An S-signature is a signature inserted between
 forward slash marks, but not a handwritten signature as defined by 37 CFR
 1.4(d)(1) . An S-signature includes any signature made by
 electronic or mechanical means, and any other mode of making or applying a signature
 not covered by either a handwritten signature of 37 CFR 1.4(d)(1) . The S-signature
 can be used with correspondence e.g., oaths and affidavits filed in the Office in
 paper, by facsimile transmission as provided in 37 CFR 1.6(d) , or via the USPTO
 patent electronic filing system as an attachment as provided in 37 CFR
 1.6(a)(4) , for a patent application, a patent, or a
 reexamination or supplemental examination proceeding. 37 CFR 1.4(d) 
 does not authorize filing correspondence by email. A legible electronic image of a
 handwritten signature inserted, or copied and pasted by the person signing the
 correspondence into the correspondence may be considered to be an acceptable
 signature under 37
 CFR 1.4(d)(2) provided the signature is surrounded by a first
 single forward slash mark before the electronic image and a second single forward
 slash mark after the electronic image and includes the signers name below or adjacent
 to the signature as required. 
 

 An S-signature must consist only of letters, or Arabic numerals, or
 both, with appropriate spaces and punctuation (i.e., commas, periods, apostrophes, or
 hyphens). 
 "Letters"
 
 
 include
 English and non- English alphabet letters, and text characters (e.g., Kanji).
 Non-text, graphic characters (e.g., a smiley face created in the True Type Wing Dings
 font) are not permitted. 
 "Arabic
 numerals"
 
 
 are the numerals 0, 1, 2, 3, 4, 5, 6, 7, 8, and 9,
 which are the standard numerals used in the United States. To accommodate as many
 varieties of names as possible, a signer may select any combination of letters,
 Arabic numerals, or both, for their S-signature under 37 CFR
 1.4(d)(2)(i) . The person signing the correspondence must insert
 their own S-signature with a first single forward slash mark before, and a second
 single forward slash mark after, the S-signature (e.g., /Dr. James T. Jones, Jr./).
 Additional forward slashes are not permitted as part of the S-signature. The
 presentation of just letters and Arabic numerals as an S-signature without the
 S-signature being placed between two forward slashes will be treated as an unsigned
 document. A design patent practitioner must indicate their design patent practitioner
 status by placing the word “design” (in any format) adjacent to the last forward
 slash of their S-signature.
 

 Commas, periods, apostrophes, and hyphens are often found in names
 and will therefore be found in many S-signatures. These punctuation marks and
 appropriate spaces may be used with letters and Arabic numerals in an S-signature. A
 sample S-signature including punctuation marks and spaces, between two forward
 slashes, is: /John P. Doe/. Punctuation marks, per se, are not
 punctuation and are not permitted without proper association with letters and Arabic
 numerals. An S-signature of only punctuation marks would be improper (e.g., /- - -/).
 In addition, punctuation marks, such as question marks (e.g., /???/), are often
 utilized to represent an intent not to sign a document and may be interpreted to be a
 non- bona fide attempt at a signature, in addition to being
 improper.
 

 Script fonts are not permitted for any portion of a document except
 the S-signature. See 37 CFR 1.52(b)(2)(ii) .
 Presentation of a typed name in a script font without the typed name being placed
 between the required slashes does not present the proper indicia manifesting an
 intent to sign and will be treated as an unsigned document.
 

 37 CFR
 1.4(d)(2)(i) also defines who can insert an S-signature into a
 document. 37 CFR
 1.4(d)(2)(i) requires that a person, which includes a
 practitioner, must insert their own signature using letters and/or Arabic numerals,
 with appropriate commas, periods, apostrophes, or hyphens as punctuation and spaces.
 The “must insert his or her own signature” requirement is met by the signer directly
 typing their own signature using a keyboard. The requirement does not permit one
 person (e.g., a secretary) to type in the signature of a second person (e.g., a
 practitioner) even if the second person directs the first person to do so. A person
 physically unable to use a keyboard, however, may, while simultaneously reviewing the
 document for signature, direct another person to press the appropriate keys to form
 the S-signature.
 

 A signature which is created using a commercial
 signing system may be acceptable under 37 CFR
 1.4(d)(2) if the signature is inserted between forward slash
 marks or under 37 CFR 1.4(d)(3) if the signature
 is a graphic representation of either a handwritten signature or an S-signature and
 submitted via the USPTO patent electronic filing system. 37 CFR
 1.4(d)(3) does not apply to documents submitted in paper.
 

 For consistency purposes, and to avoid raising a doubt as to who has
 signed, the same S-signature should be utilized each time, with variations of the
 signature being avoided. The signer should review any indicia of identity of the
 signer in the body of the document, including any printed or typed name and
 registration number, to ensure that the indicia of identity in the body of the
 document is consistent with how the document is S-signed. Knowingly adopting an
 S-signature of another is not permitted.
 

 While an S-signature need not be the name of the signer of the
 document, the Office strongly suggests that each signer use an S-signature that has
 their full name. The Office expects that where persons do not sign with their name it
 will be because they are using an S-signature that is the usual S-signature for that
 person, which is their own signature, and not something that is employed to obfuscate
 or misidentify the signer. Titles may be used with the signer’s S-signature and must
 be placed between the slash marks (e.g., /Dr. John Doe/), or with the printed or
 typed version of the name.
 

 37 CFR
 1.4(d)(2)(ii) requires that a practitioner ( 37 CFR
 1.32(a)(1) ) signing pursuant to 37 CFR
 1.33(b)(1) or (b)(2) must place their
 registration number, either as part of, or adjacent, their S-signature. A hash (#)
 character may only be used in an S-signature if it is prior to a practitioner’s
 registration number that is part of the S-signature. A design patent practitioner
 must additionally indicate their design patent practitioner status by placing the
 word “design” (in any format) adjacent to the last forward slash of their
 S-signature. For an application filed on or after September 16, 2012, when a
 practitioner is signing as an applicant as defined in 37 CFR 1.42 
 (e.g., as an inventor), a registration number is not required and should not be
 supplied to avoid confusion as to which basis the practitioner is signing, e.g., as a
 practitioner or as the applicant. A patent practitioner signing on behalf of a
 juristic entity applicant (see 37 CFR 1.33(b)(3) ) is signing as a patent
 practitioner and thus must provide their registration number. For applications filed
 before September 16, 2012, when a practitioner is signing as an applicant as defined
 in pre-AIA 37 CFR
 1.41 or as an assignee a registration number is not required
 and should not be supplied for the reasons noted above.
 

 The signer’s name must be (A) presented in printed or typed form
 preferably immediately below or adjacent the S-signature, and (B) reasonably specific
 enough so that the identity of the signer can be readily recognized. See
 37 CFR
 1.4(d)(2)(iii)(A) . The printed or typed name requirement is
 intended to describe any manner of applying the signer’s name to the document,
 including by a typewriter or machine printer. It could include a printer (mechanical,
 electrical, optical, etc.) associated with a computer or a facsimile machine but
 would not include manual or hand printing. See 37 CFR 1.52(a)(1)(iv) . The
 printed or typed name may be inserted before or after the S-signature is applied, and
 it does not have to be inserted by the S-signer. A printed or typed name appearing in
 the letterhead or body of a document is not acceptable as the presentation of the
 name of the S-signer. A graphic representation of an S-signature as provided for in
 37 CFR
 1.4(d)(2) will be accepted when submitted via the USPTO patent
 electronic filing system, pursuant to 37 CFR 1.4(d)(3) .
 

 III. CERTIFICATIONS 37 CFR
 1.4(d)(4)(i) establishes that the presentation to the Office
 (whether by signing, filing, submitting, or later advocating) of any paper by a
 party, whether a practitioner or non- practitioner, constitutes a certification under
 37 CFR
 11.18(b) of this chapter.
 

 37 CFR
 1.4(d)(4)(ii) establishes certifications as to the signature of
 another for a person submitting a document signed by another under 37 CFR
 1.4(d)(2) or 37 CFR 1.4(d)(3) . Thus, the
 submitting person is obligated to have a reasonable basis to believe that the person
 whose signature is present on the document actually inserted the signature on the
 document. Such reasonable basis does not require an actual knowledge but does require
 some reason to believe the signature is appropriate. For example, where a
 practitioner emails a 37 CFR 1.63 declaration to an
 inventor for signature by the inventor and receives an executed declaration by the
 inventor in return from the inventor, reasonable basis would exist. Evidence of
 authenticity should be retained. This may involve retaining the emails sent to the
 inventor and any cover letter or email (with the signed document as an attachment)
 back to the practitioner from the inventor in the example relating to execution of a
 37 CFR
 1.63 declaration. 
 

 37 CFR
 1.4(d)(4)(ii) further establishes that a person inserting a
 signature under 37
 CFR 1.4(d)(2) or 37 CFR 1.4(d)(3) in a document
 submitted to the Office certifies that the inserted signature appearing in the
 document is their own signature. This is meant to prohibit a first person from
 requesting a second person to insert the first person’s signature in a document.
 While the certification is directed at the person inserting another S- signature, the
 person requesting the inappropriate insertion may also be subject to sanctions. 
 

 37 CFR
 1.4(d)(4)(ii) additionally establishes that violations of the
 certifications as to the signature of another or a person’s own signature, set forth
 in 37 CFR
 1.4(d)(4)(ii) , may result in the imposition of sanctions under
 37 CFR 11.18(c)
 and (d) .
 

 IV. RATIFICATION, CONFIRMATION, OR EVIDENCE OF AUTHENTICITY Pursuant to 37 CFR 1.4(h) , the Office may
 additionally inquire in regard to a signature so as to identify the signer and
 clarify the record where the identity of the signer is unclear. An example of when
 ratification or confirmation of a signature may be required is when there are
 variations in a signature or whenever a name in an S-signature is not exactly the
 same as the name indicated as an inventor, or a practitioner of record. Hence,
 whatever signature is adopted by a signer, that signature should be consistently used
 on all documents. Also addressed is the treatment of variations in a signature or
 where a printed or typed name accompanies the S-signature but the identity of the
 signer is unclear. In such cases, the Office may require ratification or confirmation
 of a signature. Ratification requires the person ratifying to state they personally
 signed the previously submitted document as well as, if needed, the submission of a
 compliant format of the signature. Confirmation includes submitting a duplicate
 document, which is compliantly signed if the previous signature was noncompliant (as
 opposed to unclear). Where it is necessary to ratify the signatures on multiple
 previously submitted documents, the ratification paper should include an itemized
 list of the documents and their filing dates.
 

 In lieu of ratification, the Office may require a resubmission of a
 properly signed duplicate document. Resubmission of a document may be required, for
 example, where ratification alone is inappropriate, such as where the image of the
 signature is of such poor quality (e.g., illegible font) that the Office is unable to
 store or reproduce the document with the signature image.
 

 Ratification or confirmation alone does not provide a means for
 changing the name of a signer. For example, when an inventor changes their name and
 the inventor desires to change their name in the nonprovisional application, such
 change must be by way of a request under 37 CFR 1.48(f) .
 See MPEP
 §§ 602.01(c)(2) and 602.08(b) .
 

 In addition, the Office may require evidence of authenticity where
 the Office has reasonable doubt as to the authenticity (veracity) of the signature.
 Evidence of authenticity may include evidence establishing a chain of custody of a
 document from the person signing the document to the person filing the document.
 Proper evidence of a chain of custody will aid in avoiding the impact of repudiation
 of a signature.
 

 Where there has been a bona fide attempt to follow
 the rule, but where there is some doubt as to the identity of the signer of a signed
 document, the Office may require ratification of the signature. Note, ratification
 would only be an effective remedy if the signer was a proper party to have executed
 the document to be ratified. For example, a practitioner of record may ratify their
 signature on an amendment, but not the signature of a secretary who is not a
 practitioner or inventor in the application. A registered practitioner may, however,
 ratify the amendment made by another registered practitioner but may not ratify a
 document required to be signed by an inventor, such as a 37 CFR 1.63 
 declaration. Similarly, an inadvertent typographical error or simple misspelling of a
 name will be treated as a bona fide attempt to follow the rule,
 which would require ratification only where there is some doubt as to the identity of
 the signer rather than be treated as an unsigned paper requiring resubmission. Where
 there is an obvious typographical error so that the Office does not have some doubt
 as to the identity of the signer (and therefore notification to applicant is not
 needed), further action by applicant would not be required and, where appropriate,
 the obvious error will be noted in the record.
 

 The inadvertent failure to follow the format and content of an
 S-signature will be treated as a bona fide attempt at a signature
 but the paper will be considered as being unsigned correspondence. Examples of
 correspondence that will be treated as unsigned are (A) the S-signature is not
 enclosed in forward slashes, (B) the S-signature is composed of non-text graphic
 characters (e.g., a smiley face) and not letters and numerals, and (C) the
 S-signature is not a name and there is no other accompanying name adjacent or below
 the S-signature so that the identity of the signer cannot be readily recognized.
 

 If the signer, after being required to ratify or resubmit a document
 with a compliant signature, repeats the same S-signature in reply without appropriate
 correction, the reply will not be considered to be a bona fide 
 attempt to reply, and no additional time period will be given to submit a properly
 signed document.
 

 V. CERTIFICATION OF DOCUMENTS PROVIDED FOR BY STATUTE When a statute requires or permits the Director to require a document
 to be certified (such as the requirement in 37 CFR 1.55 for a certified copy
 of a foreign patent application pursuant to 35 U.S.C. 119 or a certified copy
 of an international application pursuant to 35 U.S.C. 365 ) a copy of the
 certification, including a photocopy or facsimile transmission, will not be
 acceptable. Note that for applications filed under 35 U.S.C.
 111(a) , foreign priority documents retrieved by the Office from
 a foreign intellectual property office that participates with the Office in a
 priority document exchange (PDX) agreement can serve as the certified copy provided
 the requirements of 37 CFR 1.55(h) are met. The
 requirement for an original certification does not apply to certifications such as
 required under 37
 CFR 1.8 since these certifications are not provided for by
 statute.
 

 

 
 502.03 Communications via Internet Electronic Mail (email) [R-01.2024]

 The Office published a Patent Internet Usage Policy to :

 
 (A) establish a policy for use of the Internet by the Patent Examining
 Corps and other organizations within the USPTO, 
 

 (B) address use of the Internet to conduct interview-like
 communications and other forms of formal and informal communications, 
 

 (C) publish guidelines for locating, retrieving, citing, and properly
 documenting scientific and technical information sources on the Internet, 
 

 (D) inform the public how the USPTO intends to use the Internet, and
 
 

 (E) establish a flexible Internet policy framework which can be
 modified, enhanced, and corrected as the USPTO, the public, and customers learn to
 use, and subsequently integrate, new and emerging Internet technology into
 existing business infrastructures and everyday activities to improve the patent
 application, examining, and granting functions. 
 

 
 See Internet Usage Policy, 64 FR 33056 (June 21,
 1999). The Articles of the Patent Internet Usage Policy pertinent to communications via
 electronic mail are summarized below. See MPEP § 904.02(c) for information
 pertinent to Internet searching, and MPEP § 707.05(e) for information
 pertaining to the citation of electronic documents. See also MPEP § 713.04 for
 recordation of email interviews.
 

 I. CONFIDENTIALITY OF PROPRIETARY INFORMATION (ARTICLE 4) If security and confidentiality cannot be attained for a specific
 use, transaction, or activity, then that specific use, transaction, or activity shall
 NOT be undertaken/conducted.
 

 All use of the Internet by Patent Organization employees,
 contractors, and consultants shall be conducted in a manner that ensures compliance
 with confidentiality requirements in statutes, including 35 U.S.C. 122 ,
 and regulations. Where a written authorization is given by the applicant for the
 USPTO to communicate with the applicant via email, communications via email may be
 used.
 

 Backup, archiving, and recovery of information sent or received via
 the Internet is the responsibility of individual users. The OCIO does not, and will
 not, as a normal practice, provide backup and recovery services for information
 produced, retrieved, stored, or transmitted to/from the Internet.
 

 II. COMMUNICATIONS VIA THE INTERNET AND AUTHORIZATION (ARTICLE 5) Communications via email are at the discretion of the applicant. All
 Internet communications between USPTO employees and applicants must be made using
 USPTO tools.
 

 Without a written authorization by applicant in place, the USPTO will
 not respond via email to any Internet correspondence which contains information
 subject to the confidentiality requirement as set forth in 35 U.S.C. 122 .
 A paper copy of such correspondence and response will be placed in the appropriate
 patent application by the examiner. Except for correspondence that only sets up an
 interview time, all correspondence between the Office and the applicant including
 applicant's representative must be placed in the appropriate patent application. If
 an email contains any information beyond scheduling an interview, such as an
 interview agenda, it must be placed in the application. The written authorization may
 be submitted via the USPTO patent electronic filing system, mail, or fax. It cannot
 be submitted by email.
 

 For those applications where applicant wishes to
 communicate with the examiner via Internet communications, e.g., email or video
 conferencing tools, the following is a sample authorization form which may be used by
 applicant:
 

 “Recognizing that Internet communications are not secure, I hereby
 authorize the USPTO to communicate with the undersigned and practitioners in
 accordance with 37 CFR 1.33 and 37 CFR 1.34 concerning any
 subject matter of this application by video conferencing, instant messaging, or
 electronic mail. I understand that a copy of these communications will be made of
 record in the application file.”
 

 A written authorization for electronic communication
 may not be filed through an email communication. In limited circumstances the
 applicant may make an oral authorization for Internet communication. See
 MPEP §
 713.01 , subsection II.
 

 A written authorization may be withdrawn by filing a signed paper
 clearly identifying the original authorization. The following is a sample form which
 may be used by applicant to withdraw the authorization:
 

 “The authorization given on______, to the USPTO to communicate with
 any practitioner of record or acting in a representative capacity in accordance with
 37 CFR
 1.33 and 37 CFR 1.34 concerning any
 subject matter of this application via video conferencing, instant messaging, or
 electronic mail is hereby withdrawn.”
 

 To facilitate processing of the internet communication
 authorization or withdrawal of authorization, the Office strongly encourages use of
 Form PTO/SB/439, available at www.uspto.gov/PatentForms . The form may be filed via the USPTO
 patent electronic filing system using the document description Internet
 Communications Authorized or Internet Communications Authorization Withdrawn to
 facilitate processing. The internet authorization must be submitted on a separate
 paper to be entitled to acceptance in accordance with 37 CFR 1.4(c) .
 The separate paper will facilitate processing and avoid confusion.
 

 A reply to an Office action or a paper requiring a signature may NOT
 be communicated by applicant to the USPTO via email even if written authorization is
 on record. In order to ensure security and authorization for replies to Office
 actions and papers that require a signature, such replies and papers must be filed
 electronically using the USPTO patent electronic filing system (see
 MPEP §
 502.05 ) or in paper. Where a written authorization is given
 by the applicant, communications via email, other than replies to Office Actions
 under 35 U.S.C.
 132 or papers that require a signature, may be used. In such
 case, a printed copy of the email communications MUST be entered into One Patent
 Service Gateway (via Patent Data Portal) and entered in the patent application file
 (Doc Code is EMAIL). If a reply to an Office action is improperly submitted by
 applicant via email, the email submission will not be accepted as an adequate reply
 to avoid abandonment under 35 U.S.C. 133 and
 37 CFR
 1.135 . A copy of the email submission will be placed in the
 appropriate patent application file with an indication that the reply is NOT ENTERED. 
 

 USPTO employees are NOT permitted to initiate communications with
 applicants via email unless there is a written authorization of record in the patent
 application by the applicant.
 

 If applicant has authorized Internet communications,
 USPTO employees may respond to email and initiate communications with applicants via
 email.
 

 All reissue applications are open to public inspection under
 37 CFR
 1.11(a) and all papers relating to a reexamination proceeding
 which have been entered of record in the patent or reexamination file are
 open to public inspection under 37 CFR 1.11(d) . USPTO employees
 are NOT permitted to initiate communications with applicant in a reissue application
 or a patentee of a reexamination proceeding via email unless written authorization is
 given by the applicant or patentee.
 

 III. AUTHENTICATION OF SENDER BY A PATENT ORGANIZATION RECIPIENT (ARTICLE 6) The misrepresentation of a sender’s identity (i.e., spoofing) is a
 known risk when using electronic communications. Therefore, Patent Organization users
 have an obligation to be aware of this risk and conduct their Internet activities in
 compliance with established procedures.
 

 Email must be initiated by a registered practitioner, or an applicant
 in a pro se application, and sufficient information must be provided to show
 representative capacity in compliance with 37 CFR 1.34 . Examples of such
 information include the attorney registration number, attorney docket number, and
 patent application number.
 

 Similar to the policy set forth in MPEP 100 for handling
 telephone calls, when responding to an email, no information should be disclosed
 until the identity of the requester can be adequately verified. Examiners should
 verify the identity of the person by checking Patent Data Portal or the application
 file, such as checking the email address previously provided in Patent Data Portal or
 the application.
 

 IV. USE OF ELECTRONIC MAIL SERVICES (ARTICLE 7) Once email correspondence has been received from the applicant, as
 set forth in Patent Internet Usage Policy Article 4, such correspondence must be
 responded to appropriately. The Patent Examiner may respond to an applicant’s email
 correspondence by telephone, fax, or other appropriate means.
 

 V. INTERVIEWS (ARTICLE 8) Email and instant messaging shall NOT be used to conduct an exchange
 of communications similar to those exchanged during telephone or personal interviews
 unless a written authorization has been given under Patent Internet Usage Policy
 Article 5 to use Internet email. In such cases, a paper copy of the Internet email or
 instant messaging contents MUST be made and placed in the patent application file, as
 required by the Federal Records Act, in the same manner as an Examiner Interview
 Summary Form is entered.
 

 USPTO video conferencing tools may be used to conduct
 examiner interviews in both published and unpublished applications under the Patent
 Internet Usage Policy. Authorization by the practitioner is required and must be
 obtained prior to sending a meeting invite using an official USPTO communication link
 or tools. Authorization is required to confirm that the practitioner is able to
 conduct a video conferencing interview and to confirm the email address to which the
 invitation must be sent. The practitioner’s participation in the interview is
 considered consent to the use of the video conferencing tool for the interview.
 

 All Internet communications between USPTO employees and
 applicants must be made using USPTO tools. Video conferencing communications must be
 hosted by USPTO personnel. All interviews done by video conference must originate
 from USPTO links provided by the examiner. Links provided by the applicant from
 non-USPTO video conferencing tools are not acceptable to use for an interview. No
 personal phones, email, PDAs, etc. may be used by USPTO employees for Official
 communications.
 

 VI. POLICY GUIDANCE AND CLARIFICATIONS (ARTICLE 13) Within the Patent Organization, any questions regarding Internet
 usage policy should be directed to the user’s immediate supervisor. Non-USPTO
 personnel should direct their questions to the Office of the Deputy Commissioner for
 Patents who oversees the Office of Petitions or assigned staff in the Office of
 Petitions, the Office of Patent Legal Administration, and the MPEP Staff Office. 
 

 

 
 502.04 Duplicate Copies of Correspondence [R-08.2012]

 
 37 CFR 1.4 Nature of correspondence and signature requirements. 

 *****

 
 (b) Since each file must be complete in itself, a separate copy of
 every paper to be filed in a patent, patent file, or other proceeding must be
 furnished for each file to which the paper pertains, even though the contents
 of the papers filed in two or more files may be identical. The filing of
 duplicate copies of correspondence in the file of an application, patent, or
 other proceeding should be avoided, except in situations in which the Office
 requires the filing of duplicate copies. The Office may dispose of duplicate
 copies of correspondence in the file of an application, patent, or other
 proceeding.
 

 
 *****

 

 When the Office does not require duplicate copies of a paper, the filing
 of multiple copies may cause a delay in processing by the Office. Accordingly, the
 Office may discard duplicate copies of correspondence filed in an application or patent
 file.
 

 

 
 502.05 Correspondence Transmitted by EFS-Web [R-01.2024]

 [Editor Note: The following section is a
 substantial reproduction of the Legal Framework for Patent Electronic System
 published in October of 2019. The legacy system EFS-Web was retired November 15,
 2023, and replaced by Patent Center (the USPTO patent electronic filing system).
 Users are advised to review the Legal Framework for Patent Electronic System website
 at www.uspto.gov/PatentLegalFramework for updated versions.
 Information related to Patent Center may be found at www.uspto.gov/PatentCenter ] 

 I. LEGAL FRAMEWORK FOR PATENT ELECTRONIC SYSTEM The October 2019 version of the Legal Framework for
 Patent Electronic System is posted on the USPTO website at www.uspto.gov/PatentLegalFramework . 
 

 A. General Information on the Patent Electronic System The Patent Electronic System currently comprises
 EFS-Web, which is the USPTO’s web-based system for electronic filing of patent
 correspondence; and PAIR, which is the USPTO’s web-based means for electronically
 viewing the status of, and documents filed in or associated with, patent
 applications and proceedings. The Patent Electronic System is accessible via the
 USPTO website. 
 

 Users may use the Patent Electronic System to
 access and file documents securely in a variety of applications and proceedings,
 including patent applications, applications for international registration of
 industrial designs, reexamination requests and proceedings, and supplemental
 examination requests and proceedings. The term “users” includes anyone who
 accesses the EFS-Web system, including inventors, third parties (who may submit
 some papers such as third party submissions via a dedicated interface),
 practitioners, and sponsored support staff. For purposes of readability, the term
 “application” is used in this document to represent any and all of the possible
 types of applications and proceedings, except where specifically noted otherwise.
 Users also may use EFS-Web to submit payments of most patent fees including patent
 application filing fees. 
 

 In particular, users may use the web-based
 interfaces of EFS-Web to submit documents in Portable Document Format (PDF)
 directly to the USPTO. All EFS-Web submissions are required to be in PDF unless
 otherwise indicated in this framework. EFS-Web permits submission of the following
 non-PDF formats: (1) the American Standard Code of Information Interchange (ASCII)
 plain text files (.TXT) to submit nucleotide and/or amino acid sequence listings,
 computer program listings, mega tables, and Complex Work Units; (2) zip compressed
 files to submit the request form generated by PCT-SAFE or ePCT in international
 applications filed under the Patent Cooperation Treaty (PCT) with the United
 States Receiving Office; and (3) JPEG reproductions in international design
 applications. See sections L, M, and N, respectively, of this Legal Framework for
 further information. (Note: All references to ASCII text in this document, whether
 specified or not, refers to ASCII plain text only.) Users need not provide a
 duplicate copy of any document filed through EFS-Web unless the USPTO specifically
 requires the filing of a duplicate in a particular situation. 
 

 The USPTO provides users with PDF EFS-Web-fillable
 forms, such as the Provisional Application for Patent Cover Sheet, the Information
 Disclosure Statement (IDS), the Application Data Sheet (ADS), the Petition to Make
 Special Under Accelerated Examination Program, and the Request for Continued
 Examination (RCE) Transmittal. When users submit information for an ADS or an IDS
 using an EFS-Web-fillable form (not a scanned image (PDF) of a document), the
 information will directly load into the USPTO databases, which will increase
 accuracy and facilitate faster processing. Users may use other USPTO-created PDF
 fillable forms available on the USPTO website, or user-created forms in PDF, and
 submit the completed forms via EFS-Web. The information entered on
 non-EFS-Web-fillable forms, however, will not be automatically loaded into the
 USPTO databases. 
 

 Users also may use EFS-Web to submit web-based
 documents, such as ePetitions, Requests for Withdrawal as Attorney or Agent of
 Record, and eTerminal Disclaimers. Such documents can be filled out completely
 online through web-based interfaces without the need for any fillable PDF form.
 These ePetitions, requests, and eTerminal Disclaimers are auto-processed and
 granted or approved immediately upon submission if the ePetition, request, or
 eTerminal Disclaimer meets all of the requirements. An ePetition, request, or
 eTerminal Disclaimer document is generated by EFS-Web based on the information
 entered into EFS-Web. The ePetition, request, or eTerminal Disclaimer, and a
 decision granting the ePetition or request, or an approval letter approving of the
 eTerminal Disclaimer, will be loaded into the electronic application file (i.e.,
 the Image File Wrapper (IFW)), if the ePetition or request is granted, or if the
 eTerminal Disclaimer is approved. If the ePetition, request, or eTerminal
 Disclaimer does not meet all of the requirements, it will not be loaded into the
 electronic application file (i.e., IFW). 
 

 Users also may use EFS-Web to submit other
 documents, such as application data sheets, as web-based documents that can be
 filled out completely online through web-based interfaces without the need for any
 fillable PDF form. Documents submitted in this manner will be automatically loaded
 into the USPTO databases. 
 

 Users may review and check their electronic
 submissions, including their attached PDF files, before submitting the documents
 to the USPTO. After submitting the documents via EFS-Web, the system will display
 a page that states the USPTO has received the user’s submission and that provides
 an application number. Users of EFS-Web will receive an Electronic Acknowledgement
 Receipt (which can be printed or saved) of a successful submission received by the
 USPTO on their device, usually within a few minutes. A copy of the receipt is
 entered into the application file and may be obtained using PAIR. The processing
 of fees may delay the issuance of the Electronic Acknowledgement Receipt. The
 Electronic Acknowledgement Receipt is the electronic equivalent of a postcard
 receipt. See MPEP § 503 . Most documents
 submitted via EFS-Web will be viewable by the registered user via Private PAIR
 within an hour after the USPTO receives the documents, if the user has associated
 the application with the user’s customer number. Therefore, users will immediately
 be able to check the contents of their applications for completeness and accuracy
 of their electronic submissions. Users may also choose to have an email sent to an
 email address with limited information such as the application number.
 

 A user may become a registered user by first
 obtaining a USPTO.gov account and undergoing a required authentication process,
 detailed further in section E of this framework. All users - whether registered or
 not - can file most patent applications via EFS-Web. Registered users can also
 file follow-on documents in a patent application. However, an unregistered user
 can only file limited types of follow-on documents in a patent application (e.g.,
 petitions to make special based on age and petitions to accept an unintentionally
 delayed payment of a maintenance fee). See section B of this framework for more
 information.
 

 The USPTO website provides additional information
 on EFS-Web and PAIR, such as instructions, guidelines, frequently asked questions,
 and tutorials. Users may contact the Patent Electronic Business Center (Patent
 EBC) for assistance with EFS-Web and PAIR as well as for information for
 registration for two-step authentication and customer numbers. 
 

 B. Legal and Document Policies This Legal Framework sets forth the USPTO’s policies
 concerning documents submitted electronically using EFS-Web, including patent
 applications, applications for international registration of industrial designs,
 reexamination requests and proceedings, and supplemental examination requests and
 proceedings, as well as follow-on documents for such applications, requests, and
 proceedings. Applicable regulations will be interpreted consistent with this
 framework for any document submitted electronically using EFS-Web.
 

 1. Types of Patent Applications and Documents Permitted to be Filed via
 EFS-Web. 

 (a) Filings Permitted by Registered and Unregistered Users EFS-Web permits registered users (see section
 E) and unregistered users to file the following applications, requests for
 reexamination, and documents:
 

 
 (1) Provisional patent applications filed
 under 35 U.S.C.
 111(b) .
 

 (2) Nonprovisional utility patent
 applications filed under 35 U.S.C. 111(a) ,
 which can include other papers such as Track One requests or
 accelerated examination requests on initial filing.
 

 (3) Nonprovisional design patent
 applications filed under 35 U.S.C. 111(a) 
 (see 35 U.S.C. 171 ).
 

 (4) International applications filed under
 the PCT in the United States Receiving Office (see 35 U.S.C.
 361 ).
 

 (5) Submissions to enter the national stage
 under 35 U.S.C. 371 .
 

 (6) International design applications filed
 under the Geneva Act of the Hague Agreement Concerning the
 International Registration of Industrial Designs (see
 35 U.S.C.
 382 ).
 

 (7) Requests for ex parte 
 reexamination under 35 U.S.C. 302 for
 utility or design patents, as a new submission (i.e., not in the
 patent file).
 

 (8) Requests for supplemental examination
 under 35 U.S.C. 257 for
 utility, design, or plant patents, as a new submission (i.e., not in
 the patent file).
 

 (9) Third-Party Preissuance Submissions under
 35 U.S.C. 122(e) 
 and 37 CFR 1.290 for
 utility, design, or plant patent applications using a dedicated
 EFS-Web interface, where the information is not directly placed into
 the patent file. See section I.
 

 (10) Citation of prior art and written
 statements in patent files under 37 CFR 1.501 for
 utility applications using a dedicated EFS-Web interface where the
 information is not directly placed into the patent file. See section
 I.
 

 (11) Petitions to make special based on age
 under 37 CFR
 1.102(c) .
 

 (12) Petitions to accept an unintentionally
 delayed payment of a maintenance fee under 37 CFR
 1.378 , and payments of maintenance fees when
 submitted with the petition.
 

 (13) Reissue utility patent applications and
 reissue design patent applications.
 

 (b) Filing of Documents after the Initial Submission of the
 Application Registered users have the capability to file
 follow-on documents, via EFS-Web. No user, whether registered or
 unregistered, is permitted to file documents in applications, reexamination
 proceedings or supplemental examination proceedings in which they are not
 authorized. Authorization to act comes from being a practitioner of record
 or acting in a representative capacity pursuant to 37 CFR
 1.32 and 1.34 respectively. Note
 however, that one is not permitted to file papers in an application or
 proceeding if they are not a practitioner of record or acting in a
 representative capacity ( 37 CFR 1.34 ), including
 third parties, or parties who represent less than all inventors or less than
 all applicants, unless specifically authorized under this framework (see
 section E).
 

 Follow-on documents are any documents filed
 after the initial submission of the application, request for reexamination,
 or request for supplemental examination. Follow-on documents include, but
 are not limited to, the following: amendments, information disclosure
 statements (IDS), replies to Office actions and notices, evidence,
 petitions, and terminal disclaimers. Follow-on documents also include any
 documents submitted on the same day as the application, but after the
 initial submission. In addition, registered users may file a copy of a
 patent application (e.g., a copy of the amended specification including the
 claims, and drawings) for the purposes of publication of the application
 when filed with any of the following pre-grant (eighteen-month) publication
 requests via EFS-Web: amended publication under 37 CFR
 1.215(c) , redacted publication under 37 CFR
 1.217 , early publication under 37 CFR
 1.219 , and voluntary publication or republication
 under 37
 CFR 1.221(a) . See section G for more information on
 filing these publication requests via EFS-Web. In reexamination proceedings,
 both the reexamination requester and the patent owner may file documents via
 EFS-Web, if they are registered users. Registered users may also file a
 second or subsequent submission for patent term extension
 under 35
 U.S.C. 156 in a patent file via EFS-Web.
 

 Unregistered users cannot file documents after
 the initial submission via EFS-Web, except for ePetitions to make special
 based on age and ePetitions to accept an unintentionally delayed payment of
 a maintenance fee. Unregistered users may file follow-on documents by mail
 (with a certificate of mailing in accordance with 37 CFR
 1.8 ), Priority Mail
 Express ® from the USPS in accordance with
 37 CFR
 1.10 , or hand-delivery.
 

 Amendments and other papers filed in an
 application must be signed. Any follow-on document must be signed in
 accordance with 37 CFR 1.33(b) and it
 must identify on the top page in a conspicuous location, the application
 number (consisting of the series code and the serial number, e.g.,
 07/123,456), the serial number and filing date assigned to that application
 by the Office, the international application number of the international
 application (PCT), or the international registration number of the
 international design registration. See 37 CFR 1.4 ,
 1.5 , and 1.33(b) .
 

 2. Types of Patent Applications and Documents Not Permitted to be Filed via
 EFS-Web The following is a list of submission types that
 are not permitted to be filed using EFS-Web:
 

 
 (1) Plant patent applications (see
 35
 U.S.C. 161 ) filed under 35 U.S.C.
 111(a) and follow-on documents associated with
 plant patent applications, other than third party preissuance submissions
 under 37 CFR 1.290 , which
 may be submitted via a dedicated EFS-Web interface wherein the
 information is not directly placed into the application file.
 

 (2) Requests for Reexamination under
 35
 U.S.C. 302 for plant patents and documents
 associated with reexamination proceedings for plant patents.
 

 (3) Third party inquiries, petitions or papers,
 unless specifically authorized by this Legal Framework and filed in the
 manner required by the EFS-Web interface. See B1 discussed previously.
 For example, a third party may file a citation of prior art and written
 statements in patent files under 37 CFR 1.501 or a
 Third Party Preissuance Submission under 37 CFR
 1.290 via a dedicated EFS-Web interface; however,
 the filer must select the appropriate option identifying the type of
 submission or the submission will be improper. Third party filing of
 papers directly into an application, patent, or reexamination is not
 permitted under the regulations or this Legal Framework. The Office
 considers inappropriate any third-party inquiry or submission in an
 application that is not provided for in 37 CFR
 1.290 . Some examples of third party papers that may
 not be filed by EFS-Web or in paper include inquiries into the timing of
 future actions on an application, disputes over inventorship in an
 application, requests to change inventorship, correspondence address, a
 power of attorney, and 37 CFR 3.73 
 statements. 
 Note further that EFS-Web may not be used
 by third parties to file papers that have no right to entry in an
 application or proceeding under USPTO rules and procedures. For example,
 a third party is prohibited from filing a demand that the Office withdraw
 an application from issue under 37 CFR 1.313 on the
 basis of unpatentability of a claim, and may not attempt to use the
 Patent Electronic System to evade this prohibition. 
 

 

 (4) Initial submissions for patent term
 extension under 35 U.S.C. 156 .
 

 (5) Correspondence concerning registration to
 practice as specified in 37 CFR 1.4(e) .
 

 (6) Certified documents as specified in
 37
 CFR 1.4(f) . See also 37 CFR
 1.6(d)(2) .
 

 (7) Certified copies of priority documents. An
 example of such a submission is a certified copy of a foreign patent
 application filed pursuant to 35 U.S.C. 119 and
 37 CFR 1.55 or a certified copy of an
 international application filed pursuant to 35 U.S.C.
 365 and 37 CFR 1.55 .
 

 (8) Correspondence to be filed in an
 application subject to a secrecy order under 37 CFR
 5.1 through 37 CFR 5.5 . See also
 37
 CFR 1.6(d)(6) .
 

 (9) Documents filed in contested cases and
 trials before the Patent Trial and Appeal Board (PTAB), except as the
 PTAB may expressly authorize. See also 37 CFR
 1.6(d)(7) .
 

 (10) Documents filed in contested cases and
 trials before the PTAB which are governed by 37 CFR part 41, subpart D
 and part 42, respectively. For example, petitions for inter
 partes review, post grant review, covered business method
 patent review, and derivation proceedings cannot be filed via EFS-Web,
 but instead are filed electronically via the USPTO Patent Trial and
 Appeal Board End to End System at https://ptab.uspto.gov/#/login . See also
 37
 CFR 1.6(d)(3) and 1.8(a)(2)(i)(B) and
 (C) .
 

 (11) Correspondence filed in connection with a
 disciplinary proceeding under 37 CFR part 11. See also 37 CFR
 1.6(d)(3) and 37 CFR
 1.8(a)(2)(iii)(A) .
 

 (12) Maintenance fees submitted under
 37
 CFR 1.366 that are not submitted with a petition
 under 37 CFR 1.378 (see item 12 in subsection B.1
 above). Patent owners may pay electronically using the Patent Maintenance
 Fees Storefront at https://fees.uspto.gov/MaintenanceFees . See
 MPEP §
 2510 for information regarding the proper
 methods for submitting maintenance fees.
 

 (13) Assignment documents under
 35
 U.S.C. 261 , which may be electronically filed using
 the Electronic Patent Assignment System (EPAS). Information regarding
 EPAS is available at: https://epas.uspto.gov .
 

 (14) Submissions that are not associated with a
 patent, patent application, international design application,
 reexamination proceeding, or supplemental examination proceeding.
 

 (15) Notices of appeal to a court, district
 court complaints, or other complaints or lawsuits involving the USPTO.
 See MPEP §
 1216 for instructions on how to properly serve
 and/or file such documents seeking judicial review of a decision by the
 PTAB.
 

 
 If a document or submission listed previously is
 submitted via EFS-Web, the document or submission will not be accorded a date
 of receipt and it will not be considered officially filed in the USPTO.
 Furthermore, no benefit will be given to a certificate of transmission under
 37 CFR
 1.8 for the document or submission.
 

 3. Types of Papers That May Be Filed and Processed Electronically Registered users may use EFS-Web to submit
 web-based documents such as ePetitions, Requests for Withdrawal as Attorney or
 Agent of Record, and eTerminal Disclaimers. These ePetitions, requests, and
 eTerminal Disclaimers are auto-processed and granted or approved immediately
 upon submission if the ePetition, request, or eTerminal Disclaimer meets all of
 the requirements. See the ePetition Resource Page at www.uspto.gov/ patents-application-process/applying-online/epetition-
 resource-page for a list of ePetitions. 
 

 Registered users may sign into EFS-Web and
 provide information in web-based interfaces. An ePetition, request, or
 eTerminal Disclaimer document (PDF) is generated by EFS-Web based on the
 information entered into EFS-Web. This document may be reviewed prior to
 submission to ensure accuracy. This document and a decision granting the
 ePetition or request, or an approval letter approving of the eTerminal
 Disclaimer, will be loaded into the electronic application file (i.e., IFW), if
 the ePetition or request is granted, or if the eTerminal Disclaimer is
 approved. If the ePetition, request, or eTerminal Disclaimer does not meet all
 of the formal requirements, it will not be accepted for submission and loaded
 into the electronic application file (i.e., IFW).
 

 EFS-Web permits registered users (see subsection
 E, below) to file the following auto-processed ePetitions, requests, and
 eTerminal Disclaimers:
 

 
 1. Request for withdrawal as attorney or
 agent;
 

 2. Petition to withdraw an application from
 issue under 37 CFR 1.313 , with
 some restrictions;
 

 3. Petition for revival of an application
 under 37 CFR 1.137 , with some restrictions;
 

 4. eTerminal Disclaimers for nonprovisional
 utility applications under 37 CFR 1.321(b) and
 (c) ; and
 

 5. Petition to correct assignee after payment
 of Issue Fee under 37 CFR 3.81(b) .
 

 
 EFS-Web permits registered and unregistered
 users (see subsection E, below) to file the following auto-processed
 ePetitions:
 

 
 1. Petition to make special based on age
 under 37 CFR 1.102 ; and
 

 2. Petition to accept unintentionally delayed
 payment of the maintenance fee under 37 CFR 1.378(b) .
 

 4. The Official Record of Documents Submitted via EFS-Web When the USPTO successfully receives PDF documents
 filed in accordance with the EFS-Web requirements, the USPTO will convert the
 PDF files submitted by users into Tagged Image File Format (TIFF) image files
 and then store the TIFF image files in the IFW as part of the official record,
 in addition to those drawings which are stored in the Supplemental Complex
 Repository for Examiners (SCORE) as part of the official record (i.e., color
 and grayscale drawings and drawings submitted in design applications). The
 USPTO also will store JPEG drawing files successfully received in international
 design applications in accordance with the EFS-Web requirements in SCORE as
 part of the official record. In addition, certain submissions filed as ASCII
 plain text files (e.g., sequence listings or computer program listings), are
 stored in SCORE as part of the official record. Accordingly, the official
 record for the patent application, international design application,
 reexamination proceeding, or supplemental examination proceeding comprises:
 

 
 (1) ASCII text documents and drawings stored in
 SCORE as previously set forth; 
 

 (2) TIFF images of all other original documents
 as stored in IFW; 
 

 (3) The Electronic Acknowledgement Receipt and
 the Electronic Patent Application Fee Transmittal, both of which contain
 information entered via the EFS-Web graphical user interface (GUI) data
 collection interfaces; and 
 

 (4) TIFF images stored in IFW in international
 design applications generated from XML data received from the
 International Bureau.
 

 
 The original documents submitted via EFS-Web
 (e.g., applications and reexamination and supplemental examination proceeding
 documents) are stored exactly as filed in an independent location. See
 subsection L. below for more information on ASCII text documents and
 subsections K. and M.2. below for information on color and grayscale drawings
 and subsection N below for information on international design applications.
 Submissions for pre-grant (eighteen-month) publication are forwarded to the
 Pre-Grant Publication Division and are not stored in IFW or SCORE as part of
 the official record of the patent application. See subsection G. below for more
 information on publication requests.
 

 5. Treatment of Internally Inconsistent Information Submitted via
 EFS-Web When filing a new application via EFS-Web,
 EFS-Web requires the input of certain application data. This includes the type
 of application being filed (e.g., nonprovisional application under
 35
 U.S.C. 111(a) , U.S. national stage application under
 35 U.S.C.
 371 , international application (PCT) or international
 design application), the title of the application (unless the application is an
 international design application), the name of an inventor or applicant, and a
 correspondence address. In addition, other application data, such as a docket
 number, may be provided.
 

 Routing of the submission to the appropriate area
 of the Office for processing is based on the application type indicated in
 EFS-Web, and such indication will be treated as an instruction to treat the
 submission as the selected application type. Where the submission includes
 conflicting indications as to the type of application being filed, and there is
 no provision under the U.S. rules to resolve such conflict (see, e.g.,
 37 CFR
 1.495(g) ), the submission may be treated in accordance
 with the indication provided in EFS-Web, and a petition under 37 CFR
 1.182 with the appropriate fee under 37 CFR
 1.17(f) may be required to correct the error. In the case
 of other conflicting information in the submission, the conflict will be
 resolved in accordance with the applicable regulations. For example,
 inventorship will be determined in accordance with the provisions of
 37 CFR
 1.41 . Where no correspondence information is included in
 the submission, or the correspondence information was not made in accordance
 with the applicable regulations, the Office may use the application data
 furnished through EFS-Web for purposes of correspondence until corrected by the
 applicant. For example, the Office may use the correspondence address
 associated with a customer number entered through EFS-Web rather than an
 address furnished in an unsigned paper in the new application submission.
 

 6. Determination of the Paper Size Equivalent for Applications Filed via
 EFS-Web for Application Size Fee Purposes See 37 CFR 1.52(f)(2) and
 MPEP §
 607 for the paper size equivalency for application
 size fee purposes. The paper size equivalency under 37 CFR
 1.52(f)(2) for EFS-Web filings does not apply to the
 application size fee under 37 CFR 1.492(j) for
 national stage submissions under 35 U.S.C. 371 . See
 MPEP §
 1893.01(c) . 
 

 7. Submission of Fee Payments via EFS-Web Both unregistered and registered users may submit
 the filing fees (e.g., the basic filing fee, search fee, examination fee, and
 excess claims fee) using the online fee payment in EFS-Web at the time of
 filing a patent application, request for reexamination, or request for
 supplemental examination, and may submit fees for third party preissuance
 submissions under 37 CFR 1.290 . Only
 registered users may submit payment of fees in a previously filed application,
 reexamination proceeding, or supplemental examination proceeding. EFS-Web
 permits users to electronically submit the payment of fees with a credit/debit
 card, USPTO deposit account, or electronic fund transfer. Users may also
 provide authorizations to charge fees to a deposit account with the documents
 being submitted electronically via EFS-Web (e.g., a fee transmittal letter or
 form PTO/SB/17). However, users should not submit a credit/debit card charge
 authorization including the Credit Card Payment Form (PTO-2038) electronically
 via EFS-Web, because the electronic submission automatically will be loaded
 into the application file in IFW, and the credit/debit card information may
 become part of the record of an application file that is open to public
 inspection.
 

 A credit/debit card charge authorization
 transmittal (e.g., PTO-2038) may be submitted by facsimile transmission to the
 USPTO Central Facsimile (571) 273-8300, or sent via Priority Mail
 Express ® from the United States Postal Service
 (USPS) in accordance with 37 CFR 1.10 . Applicants
 must include the application number from the Electronic Acknowledgement Receipt
 to ensure that the fees are paid in the correct application. Facsimile
 submission of the basic national fee for a national stage application under
 35 U.S.C.
 371 is not accepted. Failure to timely pay the basic
 national fee prior to the expiration of 30 months from the priority date will
 result in abandonment of the international application for purposes of the U.S.
 national phase.
 

 If an applicant wishes to submit the application
 filing fees on the filing date of a patent application to avoid the surcharge,
 the payment of the filing fees must be submitted and received by the USPTO
 before midnight ET on the filing date of the application. The previous
 paragraph discusses alternative methods that may be used instead of EFS-Web to
 pay the fees. Failure to pay the fees on the filing date of the application
 will result in a surcharge.
 

 When the online fee payment in EFS-Web is
 unavailable, the following types of submissions cannot be filed via EFS-Web,
 since online fee payment must accompany the submission:
 

 
 (1) Petitions that require a fee for
 auto-processing by EFS-Web;
 

 (2) Pre-grant publication submissions under
 37 CFR 1.211 to 1.221 that require a fee; 
 

 (3) Third-party preissuance submissions under
 37 CFR 1.290 that
 require a fee; and
 

 (4) Web-based Issue Fee Payment (Web 85b).

 C. Electronic Acknowledgement Receipt and Date of Receipt The Electronic Acknowledgement Receipt establishes
 the date of receipt by the USPTO of documents submitted via EFS-Web. The
 electronic documents are itemized in the Electronic Acknowledgement Receipt, which
 will contain a full listing of the documents submitted to the USPTO as described
 by the user during the submission process, including the count of pages and/or
 byte sizes for each document. Thus, the Electronic Acknowledgement Receipt is the
 electronic equivalent of the postcard receipt described in MPEP §
 503 .
 

 The official application filing date will be noted
 on the filing receipt ( 37 CFR 1.54 ) after the
 submitted application parts are reviewed for compliance with 35 U.S.C.
 111 (or for compliance with 35 U.S.C.
 371 for entry into the U.S. national stage of an
 international application). The filing date of an application filed under
 35
 U.S.C. 111 via EFS-Web is based on the dates indicated on
 the Electronic Acknowledgement Receipt assuming that, after review, the documents
 submitted are found to be entitled to an application filing date. Likewise, the
 official reexamination filing date will be noted on the “Notice of Ex
 Parte Reexamination Request Filing Date” and the official
 supplemental examination filing date will be noted on the “Notice of Supplemental
 Examination Request Filing Date” after Central Reexamination Unit (CRU) review for
 filing date compliance, and is based on the dates indicated on the Electronic
 Acknowledgement Receipt.
 

 If the official version of any document received by
 EFS-Web is lost, damaged or rendered unreadable and if it cannot be recovered from
 the stored files received by electronic submission, then the user will be promptly
 notified. Such events are expected to be rare. In that situation, the user may
 have to resubmit any lost document and petition for the original filing date. The
 user would be required to present: (1) the Electronic Acknowledgement Receipt; (2)
 a copy of the missing files as submitted; and (3) a signed petition accompanied by
 a statement stating that the attached files are the same as those originally
 submitted and mentioned in the Electronic Acknowledgement Receipt for that
 application number (e.g., a petition under 37 CFR 1.53(e) or
 1.182 with the appropriate petition fee under
 37 CFR 1.17(f) ).
 

 The Electronic Acknowledgement Receipt and statement
 will serve as prima facie evidence that the resubmitted documents are the same as
 those submitted on the date of receipt, except when the document description used
 by the user does not match the document. For example, if an applicant originally
 filed a specification and a set of claims and used the correct document
 descriptions for a specification and a set of claims, then the Electronic
 Acknowledgement Receipt will serve as prima facie evidence that the applicant
 filed the specification and set of claims on the original filing date. However, if
 the applicant actually filed two sets of claims, i.e., no specification was filed,
 the Electronic Acknowledgement Receipt will not serve as prima facie evidence that
 the applicant filed a specification and a set of claims (even though the applicant
 used the document descriptions for a specification and a set of claims). Note the
 Electronic Acknowledgement Receipt only indicates that the USPTO received what was
 actually sent, as opposed to what may have been intended to be transmitted. Users
 should exercise the same care in preparing and preserving a copy of a submission
 in electronic form as in paper.
 

 1. The Date of Receipt of a Follow-on Document Received by the USPTO
 Through EFS-Web Follow-on documents filed in an application or
 reexamination proceeding after the initial filing of the application or request
 for reexamination will be accorded a receipt date, which is the date the
 follow-on document is received at the USPTO. See 37 CFR
 1.6(a)(4) .
 

 A follow-on document required to be filed in the
 USPTO within a set period of time (e.g., a reply to an Office action) will also
 be considered as being timely filed if the follow-on document is submitted in
 compliance with the procedure set forth in 37 CFR 1.8(a) : 
 

 
 (1) The follow-on document is submitted via
 EFS-Web prior to expiration of the set period of time in accordance with
 the requirements for EFS-Web; and
 

 (2) The document includes a certificate of
 transmission stating the date of transmission and signed by a person that
 has reasonable basis to expect that the document would be transmitted on
 or before the date of transmission. See 37 CFR 1.8(a)(1)(i)(C)
 and (a)(1)(ii) 

 
 However, the certificate of transmission practice
 under 37 CFR
 1.8 does not apply to the documents listed in
 37 CFR
 1.8(a)(2) (e.g., a document filed for the purpose of
 obtaining an application filing date).
 

 2. The Date of Receipt of an Application Submitted via EFS-Web The time and date of receipt of an application
 filed via EFS-Web is the local time and date in USPTO headquarters in
 Alexandria, Virginia. Accordingly, the date of receipt of an application
 officially submitted through EFS-Web will be the date in the Eastern Time zone
 when the USPTO received the submission. As such, the submission’s “date of
 receipt,” as shown on the Electronic Acknowledgement Receipt, is the Eastern
 Time zone date that the documents are fully, successfully, and officially
 received at the USPTO, after the user clicks the SUBMIT button on the Confirm
 and Submit screen. See 37 CFR 1.6(a)(4) . This date
 is controlling for filing date purposes of a newly filed application. There is
 no “certificate of transmission” practice for new application filings
 ( 37 CFR
 1.8 ).
 

 To be specific, the EFS-Web system records, as the
 time and date of receipt of documents, the local time and date in Alexandria,
 Virginia, on which the USPTO receives the documents, after the user clicks the
 SUBMIT button on the Confirm and Submit screen for those documents.
 

 For example, if an applicant in California
 officially files a patent application with the USPTO through EFS-Web by clicking
 on the SUBMIT button at 10 p.m. Pacific Daylight Time in California on May 1, that
 application would be officially received by the USPTO at 1 a.m., local time (i.e.,
 Eastern Daylight Time) on May 2. Accordingly, the application would receive a
 filing date of May 2. However, the applicant could alternatively file the
 application using Priority Mail Express ® from the USPS
 in accordance with 37 CFR 1.10 in which case the
 applicant would have until midnight on May 1 in his or her local time zone to file
 the application and obtain a filing date of May 1.
 

 3. Hours of Operation for Filing via EFS-Web Hours of operation of EFS-Web will be clearly
 provided in the EFS-Web instructions when users log on to the system. The USPTO
 will post information on any scheduled down time due to system maintenance in
 advance. Users may file patent documents electronically during the hours of
 operation of EFS-Web every day of the week, including weekends and holidays. If
 the submission is successfully received (even on a Saturday, Sunday or Federal
 holiday within the District of Columbia), the USPTO will assign that receipt
 date to the submission.
 

 If a transmission is attempted during a down
 time, i.e., the electronic filing system is unavailable, the USPTO cannot
 accept it and will, if possible, transmit back a notice that the USPTO is not
 accepting submissions. No Electronic Acknowledgement Receipt will be sent.
 Instead a notice will advise the user to use alternative filing methods, such
 as Priority Mail Express ® from the USPS in
 accordance with 37 CFR 1.10 or hand
 delivery of paper to the USPTO, to establish the filing date. Note that
 applications filed under 37 CFR 1.53 , international
 applications (PCT), international design applications, reexamination requests,
 and requests for supplemental examination cannot be submitted by facsimile
 transmission ( 37 CFR 1.6(d)(3) and (5) ), and that certificate of
 mailing procedures do not apply to new applications, copies of the
 international application and the basic national fees necessary to enter the
 national stage as specified in 37 CFR 1.495(b) and
 reexamination requests ( 37 CFR 1.8(a)(2)(i)(A), (D), and
 (F) ). Users are strongly advised to transmit their
 electronic filings sufficiently early in the day to allow time for alternative
 paper filing when transmission cannot be initiated or correctly completed.
 

 4. Filing New Applications During an Unscheduled Outage of the Primary
 Portal to EFS-Web The USPTO will provide an EFS-Web Contingency
 option to users to file new applications, national stage submissions under
 35 U.S.C.
 371 , requests for reexamination, requests for
 supplemental examination, and certain petitions when the primary portal to
 EFS-Web is unavailable during an unscheduled outage. The USPTO will post a
 notification of any unscheduled outage of the primary portal to EFS-Web and
 provide the link to EFS-Web Contingency on the EFS-Web Internet page
 www.uspto.gov/patents-application-
 process/applying-online/about-efs-web . The EFS-Web
 Contingency ( www.uspto.gov/patents-
 application-process/applying-online/efs-web-contingency ) has
 the same functionality as EFS-Web for unregistered users. It permits users to
 sign on as unregistered EFS-Web users to file new applications, national stage
 submissions under 35 U.S.C. 371 submitted
 with the basic national fee necessary to enter the national stage, requests for
 reexamination, requests for supplemental examination and certain petitions.
 However, other follow-on documents and fee payments filed after the initial
 submission of the application, reexamination request, or supplemental
 examination request (e.g., amendments and replies to Office actions) cannot be
 filed using EFS-Web Contingency Option.
 

 If systems that EFS-Web Contingency depend on
 are unavailable, submission types and features in EFS-Web Contingency may be
 unavailable (e.g., payment processing and data processing). If the USPTO
 payment system is unavailable, then online payment processing will be
 unavailable for EFS-Web Contingency (e.g., online payment option is not
 available for payment of the basic national fee with a national stage
 submission under 35 U.S.C. 371 ). If the
 Patent Application Locating and Monitoring (PALM) database is unavailable, then
 EFS-Web Contingency cannot access data for processing certain submission types.
 The unavailability of the PALM system may affect filing types such as national
 stage submissions under 35 U.S.C. 371 and
 ePetitions.
 

 (a) Proper Submissions Under EFS-Web Contingency Option Specifically, EFS-Web Contingency Option only
 permits users to electronically file the following items:
 

 
 (1) Provisional patent applications filed
 under 35 U.S.C.
 111(b) ;
 

 (2) Nonprovisional utility patent
 applications filed under 35 U.S.C. 111(a) ;
 
 

 (3) Nonprovisional design patent applications
 (see 35 U.S.C. 171 ) filed under 35 U.S.C.
 111(a) ;
 

 (4) International applications filed under
 the PCT in the United States Receiving Office (see 35 U.S.C.
 361 );
 

 (5) Submissions to enter the national stage
 under 35 U.S.C. 371 ;
 

 (6) International design applications filed
 under the Geneva Act of the Hague Agreement Concerning the
 International Registration of Industrial Designs (see
 35 U.S.C.
 382 );
 

 (7) Requests for ex parte 
 reexamination under 35 U.S.C. 302 for
 utility or design patents;
 

 (8) Requests for supplemental examination
 under 35 U.S.C. 257 for
 utility, design, or plant patents;
 

 (9) Petitions to make special based on age
 under 37 CFR 1.102(c) 
 when filed as an ePetition (for more information see www.uspto.gov/patents-application-process/
 applying-online/epetition-resource-page );
 

 (10) Petitions to accept an unintentionally
 delayed payment of maintenance fee under 37 CFR
 1.378(b) when filed as an ePetition, for the
 automatic processing of the ePetition (for more information see
 www.uspto.gov/patents-application-process/
 applying-online/epetition-resource-page );
 

 (11) Petition to make special under the
 accelerated examination program (must be filed with a nonprovisional
 utility patent application under 35 U.S.C.
 111(a) ); 
 

 (12) Reissue utility patent applications and
 reissue design patent applications;
 

 (13) Third-Party Preissuance Submissions
 under 35 U.S.C. 122(e) 
 and 37 CFR 1.290 for
 utility, design, or plant patent applications using a dedicated
 EFS-Web interface wherein the information is not directly placed into
 the application. See subsection I, below; and 
 

 (14) Citation of prior art and written
 statements in patent files under 37 CFR 1.501 for
 utility applications using a dedicated EFS-Web interface, where the
 information is not directly placed into the patent file. See
 subsection I, below. 
 

 
 Documents filed via EFS-Web Contingency as
 part of the submissions previously listed must meet the same file format
 requirements established for EFS-Web, e.g., file size and PDF embedded-font
 requirements. The same file validation performed in EFS-Web will be
 performed in EFS-Web Contingency . Similar to EFS-Web, EFS-Web Contingency
 will provide an Electronic Acknowledgement Receipt that establishes the date
 of receipt by the USPTO of an application or document submitted via EFS-Web
 Contingency. The applicant is not required to, and should not, resubmit the
 application or document that was submitted via the EFS-Web Contingency
 Option when the primary portal to EFS-Web is once again available. Any
 resubmission of an application will result in filing a duplicate application
 and, if applicant pays the filing fees again when submitting the duplicate
 application, no refund will be provided. 35 U.S.C. 42 .
 

 Applications filed via EFS-Web Contingency are
 protected with the same level of security as EFS-Web for unregistered users
 by using Transport Layer Security (TLS) to encrypt transmission over the
 Internet. Registered users who have uploaded documents to a Saved Submission
 package in EFS-Web will not be able to access those Saved Submission
 documents through EFS-Web Contingency. Applicants can submit online fee
 payments by selecting fees on the fee calculation screen and completing
 their payment at the time of submission (i.e., choose the “Yes! I want to
 pay now” button rather than “No - I will pay later” button).
 

 When the primary portal to EFS-Web is
 unavailable during an unscheduled outage, applicants may also file new
 applications, national stage submissions under 35 U.S.C.
 371 submitted with the basic national fee necessary to
 enter the national stage, reexamination requests, and requests for
 supplemental examination by either hand-delivery to the USPTO, or Priority
 Mail Express ® from the United States Postal
 Service (USPS) in accordance with 37 CFR 1.10 , to
 establish the filing date or national stage submission date. New
 applications, national stage submissions under 35 U.S.C.
 371 submitted with the basic national fee necessary to
 enter the national stage, reexamination requests, and requests for
 supplemental examination cannot be submitted by facsimile transmission and
 certificate of mailing procedures under 37 CFR 1.8 do not apply
 to these items.
 

 The EFS-Web Contingency Option does not permit
 follow-on fee payments and follow-on documents other than those previously
 listed. Applicants may file the documents or fee payments by: (1) facsimile
 transmission in accordance with 37 CFR 1.6(d) and
 1.8 , (2) first class mail with a certificate of
 mailing in accordance with 37 CFR 1.8 , (3)
 hand-delivery to the USPTO, or (4) Priority Mail
 Express ® from USPS in accordance with
 37 CFR
 1.10 . Documents that are required to establish the
 filing date of an application (e.g., a missing drawing figure or page of the
 specification) cannot be submitted by facsimile transmission, and
 certificate of mailing procedures under 37 CFR 1.8 do not apply
 to these documents.
 

 (b) Improperly Filed Follow-on Documents As previously stated, EFS-Web Contingency and
 (EFS-Web for unregistered users) permits users to sign on as unregistered
 EFS-Web users to file new applications, national stage submissions under
 35
 U.S.C. 371 submitted with the basic national fee
 necessary to enter the national stage, requests for reexamination, requests
 for supplemental examination, and certain ePetitions. EFS-Web Contingency
 (and EFS-Web for unregistered users) have limited functionality, and do not
 permit users to file other follow-on documents and follow-on fee payments
 after the initial submission of the application, reexamination request, or
 supplemental examination request (e.g., amendments and replies to Office
 actions). Note that it is improper for registered and unregistered users to
 file follow-on documents as new applications. The USPTO provides answers to
 frequently asked questions, and other helpful information on the USPTO
 website. Users are encouraged to check the USPTO website for more
 information and contact the Patent Electronic Business Center for questions
 related to the usage of USPTO Patent Electronic Systems. When an applicant
 improperly files a follow-on document as a new application via EFS-Web
 Contingency (or EFS-Web) and wishes the USPTO to move the follow-on document
 to an existing intended application, a petition under 37 CFR
 1.182 accompanied by the petition fee under
 37 CFR 1.17(f) will be
 required in the intended application.
 

 (c) Additional Information Regarding National Stage Submissions The basic national fee is required in order
 for an international application to enter the national stage under
 35
 U.S.C. 371 . See 37 CFR
 1.495 . Users are permitted to submit the basic
 national fee with the national stage submission under 35 U.S.C.
 371 via EFS-Web and EFS-Web Contingency using the
 USPTO payment page. If the payment system is unavailable, neither EFS-Web
 nor EFS-Web Contingency will permit users to make payment using the
 interactive payment interfaces. Applicant may pay the necessary national
 stage entry fees by including a written authorization to charge a deposit
 account the desired fees together with the national stage submission under
 35
 U.S.C. 371 , or by sending the payment via Priority
 Mail Express ® from the USPS in accordance with
 37 CFR
 1.10 on the same date that the national stage
 submission is electronically filed.
 

 For any national stage submissions under
 35
 U.S.C. 371 filed via EFS-Web or EFS-Web Contingency,
 the system automatically checks the PALM system to verify that no previous
 national stage submission has been made for the particular international
 application (PCT) referenced in the initial national stage submission. If
 the PALM system is unavailable, neither EFS-Web nor EFS-Web Contingency can
 complete the PALM verification, and thus EFS-Web and EFS-Web Contingency
 will not permit any national stage submissions under 35 U.S.C.
 371 to be filed. Therefore, if PALM is unavailable,
 applicants may use hand-delivery or Priority Mail
 Express ® from the USPS in accordance with
 37 CFR
 1.10 to submit documents and fees for national stage
 entry. However, applicants may not file national stage submissions under
 35
 U.S.C. 371 or the basic national fee necessary to
 enter the national stage via facsimile transmission. See 37 CFR
 1.6(d)(3) and 1.8(a)(2)(i)(F) .
 

 See subsection M, below, for additional
 information pertaining to the filing of international applications (PCT) and
 entry into the national stage under 35 U.S.C. 371 .
 

 5. Inadvertent Omission of Documents Filed in a New Application via
 EFS-Web One advantage of filing a patent application via
 EFS-Web is that a registered user may view his or her submission in Private
 PAIR and file a document directly into the application file on the same day as
 the filing date of the application. In certain situations, applicant may
 correct an error by filing a missing item(s) on the same day as the filing date
 of the application. Applicant, however, may wish to file a new application in
 other certain situations.
 

 The following examples describe implications
 raised when applicant inadvertently omits an item when filing an application
 under 35 U.S.C. 111 electronically via EFS-Web:
 

 
 (1) Oath or Declaration - Applicant may file an
 executed oath or declaration on the same day as the filing date as the
 application via EFS-Web. The oath or declaration will not be considered
 late and a surcharge for filing a late oath or declaration will not be
 required.
 

 (2) Filing Fees - Applicant may file the filing fees
 (e.g., the basic filing fee, search and examination fees, application
 size fee, or excess claims fee) on the same day as the filing date of the
 application via EFS-Web. The fees will not be
 considered late and a surcharge for filing the filing fees will
 not be required.
 

 (3) Nonpublication request - Because 37 CFR
 1.213(a)(1) requires any nonpublication request to
 be filed with the application , applicant cannot simply file
 the nonpublication request to correct the error. If applicant does not
 wish to have the application publish, applicant must file: (a) a new
 application with a nonpublication request; and (b) in the initial
 application, a petition for express abandonment to avoid publication
 under 37 CFR 1.138(c) and the fee under
 37 CFR 1.17(h) in
 sufficient time to permit the appropriate officials in the Pre-Grant
 Publication Division to recognize the abandonment and remove the
 application from the publication process.
 

 (4) Drawings - Applicant may file missing drawings as
 a preliminary amendment on the same day as the filing date of the
 application. The drawings will be considered as part of the original
 disclosure of the application. See 37 CFR 1.115(a)(1) .
 If the application was filed with the “wrong drawings,” a preliminary
 amendment could be filed on the same day as the filing date of the
 application adding the correct drawings and deleting the “wrong
 drawings.” An amendment adding new drawings and deleting the “wrong
 drawings,” filed on a day after the filing date of the application may
 raise new matter issues.
 

 (5) Claims - Applicant may file claims as a
 preliminary amendment on the same day that applicant filed the
 application papers and such claims will be considered as part of the
 original disclosure of the application.
 

 (6) Part of the specification - Applicant may file any
 missing portion of the written description as a preliminary amendment on
 the filing date of the application. Such amendment will be considered as
 part of the original disclosure.
 

 
 If applicant files a second application to
 correct an error in the first application, applicant will have filed two
 applications. Applicant may continue to prosecute the first application that
 has the error or abandon the first application by filing a petition for express
 abandonment. Please note that any fees paid in the first application will not
 be refunded or applied to the second application. Applicant may request refund
 of the search fee and any excess claims fees (but not the basic filing fee,
 examination fee, and application size fee) paid in the first application if the
 application was filed under 35 U.S.C. 111(a) , and the
 applicant files a petition for express abandonment in accordance with
 37 CFR
 1.138(d) .
 

 6. Legal Consequences of the USPTO’s Accepting Electronic Patent
 Applications on Saturday, Sunday, and Holidays Applicants may file patent applications
 electronically during the hours of operation of EFS-Web every day of the
 week, including weekends and holidays. EFS-Web will provide applicants with
 the opportunity to receive a filing date on any day of the week, including
 Saturday, Sunday, and Federal holidays. In addition, 35 U.S.C.
 21(b) states:
 

 When the day, or the last day, for taking any
 action or paying any fee in the United States Patent and Trademark Office
 falls on Saturday, Sunday, or a Federal holiday within the District of
 Columbia, the action may be taken, or fee paid, on the next succeeding
 secular or business day.
 

 Further, 35 U.S.C. 119(e)(3) 
 states, in pertinent part:
 

 If the day that is 12 months after the filing
 date of a provisional application falls on a Saturday, Sunday, or Federal
 holiday within the District of Columbia, the period of pendency of the
 provisional application shall be extended to the next succeeding secular or
 business day.
 

 Thus, under United States law, applicants will
 be permitted to take action on the next business day when the last day for
 taking action falls on a weekend or Federal holiday within the District of
 Columbia, regardless of the mode or form of filing.
 

 However, Article 4 of the Paris
 Convention addresses the priority period Article 4(C)(3) states:
 

 If the last day of the period is an official
 holiday, or a day when the Office is not open for the filing of applications
 in the country where protection is claimed, the period shall be extended
 until the first following working day.
 

 As previously stated, the USPTO is capable of
 accepting electronic patent application filings every day of the week,
 including weekends and holidays, through EFS-Web. Thus, applicants filing
 international applications with the United States Receiving Office or
 international design applications with the USPTO as an office of indirect
 filing are cautioned to consider possible adverse consequences regarding the
 determination in other countries of priority periods under Article
 4(C)(3) of the Paris Convention. Specifically, the
 ability to file applications electronically on weekends and holidays in the
 USPTO could potentially result in loss of priority rights in foreign
 jurisdictions designated in either international applications filed under
 the PCT with the United States Receiving Office or international design
 applications filed with the USPTO as an office of indirect filing if
 applicants choose to avail themselves of 35 U.S.C. 21(b) or
 119(e)(3) . In such circumstances, other patent
 offices may deny the priority claim on the basis that
 the international application or international design application was not
 timely filed if their national law strictly incorporates the provision of
 Paris Convention Article 4(C)(3) such that
 it considers the USPTO to be open for the filing of applications on weekends
 and holidays. For this reason, applicants should consider whether to rely
 upon the “next business day” provisions of 35 U.S.C.
 21(b) and 119(e)(3) when filing
 international applications or international design applications with the
 USPTO, and instead file the international application or international
 design application before the Paris Convention priority period has
 expired.
 

 D. Proper Usage of EFS-Web Users should follow the instructions and guidelines for EFS-Web
 provided on the USPTO website. Before clicking the SUBMIT button, the user should
 check whether the correct documents have been attached to the submission, and
 whether the information related to the submission has been entered correctly. 
 Once the user clicks the SUBMIT button on the Confirm and Submit screen, the
 submission will be electronically sent to the USPTO. A submission is officially
 filed at the USPTO when the documents are received by the USPTO (the local time
 and date in Alexandria, VA, which is located in the Eastern Time zone). Use of
 EFS-Web in a manner significantly in violation of the instructions and guidelines
 for EFS-Web provided on the USPTO website and in this framework may result in
 non-entry of the submission or failure to accord a filing date in
 the event the USPTO does not fully, successfully, and officially receive all of
 the elements necessary to obtain a filing date for an intended submission. 
 Furthermore, electronic files submitted via EFS-Web must be free of executables,
 worms, viruses, or any other type of potentially malicious content. Please note
 that under 18 U.S.C. 1030 users may not intentionally cause damage to federal
 government computers.
 

 1. Filing Documents as PDF Files via EFS-Web EFS-Web accepts standard PDF documents up to 25 megabytes for
 each file, and 60 electronic files per submission. For international design
 applications, EFS-Web can accept more than 60 electronic files in a single
 submission, subject to certain conditions. See subsection L.4. below for more
 information. PDF files created from scanned documents and submitted via
 EFS-Web must be created using a scanning resolution no lower than 300 dpi. 
 Lower resolution scans have significantly delayed processing and publication of
 applications, e.g., resubmission has been required for documents failing to
 comply with the legibility requirements. See 37 CFR
 1.52(a)(1)(v) and (a)(5) regarding document
 legibility requirements.
 

 In addition, because the PDF format is so feature-rich, certain
 PDF features are currently not supported by the USPTO systems. For example,
 PDF documents with multiple layers must be flattened prior to submission to
 ensure that the complete document is received by the USPTO and readable to the
 examiner or other deciding officials. If a document contains layers that are
 marked as “invisible,” the invisible layers will be lost when the document is
 processed by the USPTO, and thus the official records in IFW will not contain
 the information on the invisible layers. Furthermore, if a user enters
 information on a form using the PDF comments or annotations features, only the
 blank form without the PDF comments and annotations will be processed. 
 Therefore, the complete document will not be officially filed at the USPTO and
 the user cannot rely on the Electronic Acknowledgement Receipt as evidence that
 the completed form was filed at the USPTO. Users are encouraged to check the
 contents of their submissions for completeness and accuracy via PAIR.
 

 Users must follow the PDF Guidelines for EFS-Web and PDF
 Creation for EFS-Web (available on the USPTO website) to create and submit PDF
 files via EFS-Web to ensure that all of the information in the PDF files is
 successfully received and processed by the USPTO.
 

 2. Entering Information on EFS-Web Interfaces EFS-Web collects information from on-screen entries made by the
 user through the EFS-Web data collection interfaces. Through these data
 collection interfaces, the user provides the USPTO with information regarding
 the electronic submission, such as the type of application being filed, the
 application number of the application in which a follow-on document is being
 submitted, or the type of document being submitted. The USPTO systems (e.g.,
 EFS-Web, IFW, etc.) will use the information entered by the user on the EFS-Web
 interfaces to automatically: (1) assign the application number, create the
 application, and process the application, if a new application is being filed;
 (2) upload the follow-on document into the application file specified by the
 user; or (3) message the deciding official based on the document description
 selected by the user. Providing incorrect information regarding the submission
 could lead to, for example: (1) an incorrect type of application file being
 created; (2) a delay in processing the document; (3) a document being filed in
 an incorrect application; or (4) the deciding official not recognizing the
 document in sufficient time to avoid publication, to withdraw the application
 from issue, or to avoid the abandonment of the application. 
 

 (a) Filing a New Application When a user is submitting a new application via EFS-Web, the
 user is required to select the application type (e.g., design, utility,
 provisional or nonprovisional) being filed on the EFS-Web interface. Only
 document descriptions and fee codes pertinent to the selected application
 type will be available for the submission. The system will also
 automatically generate the application number based on the user’s
 selection. For example, if the user indicates that the submission is a
 provisional application by selecting the EFS-Web option for a provisional
 application, the application will be assigned a provisional application
 number, provisional application fees will be collected or required, and the
 application will be further processed as a provisional application. 
 Furthermore, the application will not be assigned to an examiner for
 examination and will not be published because the submission is processed as
 a provisional application. Therefore, it is important for the user to
 select the correct application type on the EFS-Web interface, and to review
 the Electronic Acknowledgement Receipt and the application file using PAIR
 after the submission is completed.
 

 (b) Follow-on Documents When a user submits a follow-on document (e.g., a reply to
 an Office action or notice) via EFS-Web, the user is required to enter the
 correct application number, control number or proceeding number, and
 confirmation number of the application in which the follow-on document is
 being filed. Providing the incorrect application number and confirmation
 number pair will result in filing the follow-on document in the wrong
 application and the intended application could become unintentionally
 abandoned for failure to reply to the Office action or notice, this also
 applies to reexamination proceedings and supplemental examination
 proceedings. Therefore, it is important for the user to enter the correct
 application number and confirmation number on the EFS-Web screen when filing
 the follow-on document. Furthermore, users cannot file a follow-on document
 as a new application.
 

 After the submission of the follow-on document is completed,
 the user should log on to PAIR to review the application file and check
 whether the follow-on document has been filed in the correct application. 
 Checking the application file via PAIR would also help the user to discover
 other filing errors, such as filing a wrong document or omitting a portion
 of the document. 
 

 Documents filed in the incorrect application
 may require a petition to expunge under 37 CFR 1.59 with the
 appropriate fee under 37 CFR 1.17(g) filed in
 the incorrect application or a petition to move the document under
 37 CFR
 1.182 with the appropriate fee under 37 CFR
 1.17(f) filed in the intended application.
 

 (c) Document Indexing When a user submits an application or a follow-on document
 in an application using EFS-Web, the user must select from the list of
 document descriptions to specify the files being submitted via EFS-Web. For
 instance, when the user is filing a patent application, the submission must
 be separated into appropriate sections: specification, claims, abstract,
 and drawing; and when the user is filing an amendment, the user must select
 the appropriate type of amendment: amendment after non-final, amendment
 after allowance, preliminary amendment, and amendment after final. Based on
 the document description selected by the user, a document code is assigned
 and a message regarding the document submitted to the USPTO will be
 forwarded to the appropriate organization for processing, and to the
 appropriate official for consideration. Furthermore, the IFW and PAIR
 systems use the document code for identifying the document maintained in the
 application file. Therefore, accurate document indexing is important to
 facilitate efficient processing and proper consideration of the document by
 the USPTO. For example: (a) if the user indicated an after-final amendment
 as a non-final amendment, the processing of such amendment may be delayed
 and the examiner may not have sufficient time to consider the amendment
 before the time period for reply expires; (b) if the user selects the
 “Pre-Grant Publication” option on the EFS-Web data collection screen for
 submitting a substitute specification filed in response to a non-final
 Office action, the submission will be forwarded to the publication branch
 rather than processed into IFW and forwarded to the examiner for
 consideration; and (c) if the user selects “drawings - only black and white
 line drawings" for submitting color drawings in a utility application rather
 than “drawing - other than black and white line drawings", the color
 drawings would not be processed as color drawings, and would be maintained
 as black and white drawings in IFW. 
 

 More information on document indexing is available on the
 USPTO website. It is important for users to select the correct document
 description, and check the application file via PAIR after the submission is
 completed.
 

 3. Refunds for Fees Paid via EFS-Web Due to System Malfunction The USPTO will grant refunds to users when,
 due to a malfunction with the EFS-Web system, the EFS-Web system has misled
 a user into paying a fee in error. If it cannot be determined that a
 malfunction occurred, but rather it seems to be a user error, no refund will
 be given. Users should contact the Patent EBC if there are any issues
 associated with their submissions.
 

 E. Security and Authentication As the USPTO transitions its Patent Electronic
 System from EFS-Web and PAIR to Patent Center, changes have been made to the
 protocols for accessing EFS-Web and PAIR. PKI certificates are no longer being
 used, and have been replaced with a new authentication and log-in method for
 EFS-Web and PAIR to comply with the latest Federal Information Security Management
 Act (FISMA) requirements. The new authentication and log-in method is a two-step
 authentication paradigm requiring each individual registered user of EFS-Web or
 PAIR to have a unique USPTO.gov account. Users of Financial Manager may already
 have a USPTO.gov account.
 

 A two-step authentication paradigm also will be
 implemented in the forthcoming Patent Center. The two-step authentication paradigm
 will be in effect during the interim period prior to full implementation of Patent
 Center.
 

 Thus, the PKI authentication access system has been phased out and
 replaced by an authentication system in which each user must obtain his or her own
 credentials. A practitioner must be a registered user to sponsor support staff.
 Support staff for practitioners must obtain their own credentials and be sponsored
 by the practitioner who directs and controls the non-practitioner’s work.
 Credentials may only be used by the person to whom they are registered and
 assigned. Sharing of credentials is no longer permitted. More information on the
 new system may be found at the website for the Patent Electronic Business Center,
 located at https://www.uspto.gov/learning-and-resources/
 support-centers/patent-electronic-business-center and “Authentication Change for
 EFS-Web and PAIR,” located at https://www.uspto.gov/
 patent/authentication-changes-efs-web-and-pair.
 

 1. PKI Certificates Have Been
 Discontinued PKI certificates were usable through July 2,
 2019. The information contained in the previous version of this section and in
 the PKI Subscriber Agreement remained applicable until that date. 
 

 Since January 18, 2019, under the new Patent
 Electronic System Verification process, to become a registered user, an
 individual creates a USPTO.gov account and completes the Patent Electronic
 System Electronic System Verification Form PTO-2042a, available on the USPTO
 website. 
 

 2. Persons Who May Access the Patent
 Electronic System Inventors, applicants, and patent practitioners;
 i.e., patent attorneys and agents registered to practice before the USPTO, may
 obtain credentials to access the Patent Electronic System. No other person may
 access the Patent Electronic System unless they are sponsored by a patent
 practitioner. A patent practitioner may sponsor other individuals to access the
 Patent Electronic System so as to access information and file documents on
 behalf of that patent practitioner. Such sponsorship is limited to those
 individuals acting under the direction and control of that practitioner. The
 sponsoring practitioner will be responsible for the actions of each sponsored
 individual. Sponsorship is further limited to those individuals performing the
 role of support staff to the practitioner through an employment agreement,
 including contractual agreements. 
 

 Support staff individuals who are going to be
 sponsored by one or more patent practitioners will need to create an individual
 USPTO.gov account. A sponsored support staff individual acting under the
 direction and control of a patent practitioner may file documents signed by the
 practitioner via EFS-Web, in compliance with the Patent Electronic System
 Subscriber Agreement. 
 

 When a sponsoring relationship no longer exists
 (e.g., the practitioner or the sponsored support staff individual are no longer
 at the same firm) the sponsoring practitioner should remove the
 sponsorship.
 

 3. Authorization to File Documents,
 Access Information, and Pay Fees Through the Patent Electronic
 System Registered users are permitted to access and file via EFS-WEb
 follow-on documents in applications in which they are acting on behalf of the
 applicant, and in reexamination and supplemental examination proceedings in
 which they are acting on behalf of the owner. Note that pursuant to
 37 CFR
 1.31 juristic entity applicants must be represented by a
 patent practitioner. 
 

 Documents submitted through EFS-Web must be signed
 in accordance with 37 CFR 1.4, 1.33(b), and 11.18. Registered users who are
 joint inventors, or who represent less than all inventors or less than all
 applicants, may access their applications, but may not file documents lacking
 the signatures of all applicants unless specifically authorized under this
 framework. A sponsored support staff individual may file documents that are
 properly signed by the practitioner who directs and controls that individual’s
 work. Such a sponsored support staff individual, who is not an authorized party
 to sign the documents, is not responsible for the contents of the documents
 submitted. For all submissions through EFS-Web, the person who signs the
 documents (e.g., the applicant or a patent practitioner who is representing the
 applicant) is responsible for the contents. For example, the documents may be
 electronically signed or ink signed by the applicant or patent practitioner of
 record in accordance with 37 CFR 1.4(d). The sponsored support staff individual
 who serves the ministerial function of pickup and delivery of documents may
 submit the signed documents electronically via EFS-Web under the direction and
 control of the patent practitioner. (Ink signed documents can be electronically
 scanned and then e-filed.) This sponsored support staff individual may also
 view and retrieve documents from Private PAIR under the direction and control
 of that practitioner. 
 

 It also should be noted that the sponsored
 support staff individual could pay the fees associated with the submission in
 the EFS-Web process. This is comparable to the paper practice in which law
 firms designate individuals to pay fees. 
 

 4. Filing Documents Without a
 Patent Electronic System Account as an Unregistered User Users that do not have, or do not wish to use, a Patent Electronic
 System Account to authenticate to the USPTO, may submit new application filings
 via a non-authenticated workflow as an unregistered user. The user would go to the
 EFS-Web page and choose to submit without a Patent Electronic System Account as an
 unregistered user, which would generate a TLS connection for the session, thus
 allowing secure data transmission to the USPTO. Unregistered users have the same
 level of protection for filing as a registered user, but are limited to submission
 of initial filings (except as noted in section B1). This practice minimizes the
 risk of improperly-filed third party submissions and other documents. 
 Unregistered users may file follow-on documents by mail (with a certificate of
 mailing in accordance with 37 CFR 1.8 ), by Priority Mail
 Express ® from the USPS in accordance with
 37 CFR
 1.10 , or by hand delivery. 
 

 Note: Users are advised that the USPTO may revoke a user’s Patent
 Electronic System Account if the user makes an improper submission through
 EFS-Web. See section B of this framework. See also section 5 of the “United States
 Patent and Trademark Office Patent Electronic System Subscriber Agreement”
 (available at http://www.uspto.gov/patents/ process/file/efs/guidance).
 

 5. Patent Electronic System Subscriber Agreement The Patent Electronic System subscriber agreement
 (November 2018) explains that a holder of a Patent Electronic System account
 must update changes in the information in their Patent Electronic System
 Verification Form (Verification Form) within thirty (30) calendar days of the
 change. Information may be updated by submitting a new Verification Form and
 some information can be updated on the account holder’s USPTO.gov account
 profile.
 

 A Patent Electronic System account holder may
 only use the account for applications for which the account holder is
 authorized to access; unauthorized use, such as attempting or gaining access to
 nonpublic information or inadvertently disclosed nonpublic information, may
 lead to immediate revocation of the Patent Electronic System Account. A Patent
 Electronic System account holder may only use the account for securing
 communication with the USPTO, and may not encourage or permit others to use or
 rely on their Patent Electronic System account log-in credentials.
 

 A Patent Electronic System subscriber who is a practitioner may
 grant sponsorship to a reasonable number of practitioner support individuals to
 work on their behalf under their direction and control. A sponsoring
 practitioner must take reasonable steps to ensure that the access of each
 sponsored practitioner support individual is consistent with the tasks assigned
 to that individual. Such reasonable steps include removing sponsorship where
 appropriate, including where the individual leaves the practitioner’s
 organization or the contractor’s organization or when the contractor is no
 longer under contract to the practitioner or the practitioner’s
 organization.
 

 Each of the practitioner support individuals who
 are sponsored must have their own USPTO.gov account and must not share accounts
 among other support staff individuals. Each sponsored practitioner support
 staff individual must only be an employee of the practitioner or an employee of
 practitioner’s organization, an individual under contract to the practitioner
 or the practitioner’s organization, or an employee of a contractor under
 contract to the practitioner or the practitioner’s organization.
 

 A practitioner may only sponsor support staff
 individuals and may not sponsor any other individuals or organizations
 including a company, a group, a client, a practitioner (see 37 CFR 11.1), or an
 invention promoter (see 37 CFR 4.2(a)), to become users of the Patent
 Electronic System. A sponsoring practitioner is responsible for verifying the
 identity of any person who is sponsored as stated in the Patent Electronic
 System Access Document. A sponsoring practitioner may only sponsor a reasonable
 number of practitioner support individuals to work under their direction for
 whom he/she can maintain proper control.
 

 A sponsoring practitioner must take reasonable
 steps to ensure compliance by each sponsored practitioner support person with
 the requirements set forth in the subscriber agreement, including the
 restrictions on the software use in section 6 and the restrictions on the
 export (including deemed export) of technology and software included in patent
 applications in section 7. If a sponsored practitioner support person is not a
 U.S. citizen, their access to the technology and software constitutes an
 export.
 

 A sponsored practitioner support person’s access
 to the Patent Electronic System may not extend beyond those duties performed
 under the direction and control of a sponsoring practitioner.
 

 A sponsored practitioner support person may only
 use their Patent Electronic System account to access, in an authorized support
 capacity, customer numbers and application information associated with their
 Patent Electronic System profile in accordance with the laws, regulations, and
 policies of the USPTO including this Legal Framework. A sponsored practitioner
 support person may only use or rely on their Patent Electronic System accounts
 for communication with the USPTO in compliance with the laws, regulations, and
 policies of the USPTO.
 

 More information about the Patent Electronic
 System subscriber agreement is available on the USPTO website.
 

 A law firm should promptly remove any
 practitioner who leaves the firm from the list of practitioners associated with
 the law firm's Customer Number. A practitioner leaving a law firm can also
 remove themselves from the law firm’s Customer Number.
 

 F. Signatures Signatures included in image attachments submitted via EFS-Web are
 governed by the requirements of 37 CFR 1.4(d) .
 

 If the signer is submitting an application through EFS-Web as PDF
 files, he or she may apply either a handwritten signature in compliance with
 37 CFR
 1.4(d)(1) or an S-signature in compliance with
 37 CFR
 1.4(d)(2) before scanning the document or converting it to a
 PDF file. Alternatively, correspondence submitted through EFS-Web may be signed
 by a graphic representation of a handwritten signature as provided for in
 37 CFR
 1.4(d)(1) or a graphic representation of an S-signature as
 provided for 37
 CFR 1.4(d)(2) . See 37 CFR
 1.4(d)(3) . Follow-on documents, such as responding to a
 Notice to File Missing Parts of Nonprovisional Application or an amendment filed
 in an application, must also be signed in accordance with applicable requirements.
 See 37 CFR
 1.33(b) . Even though a new patent application is entitled
 to a filing date if it complies with all the statutory requirements set forth in
 35 U.S.C.
 111(a) or (b) , it is noted that when
 filing a new application by EFS-Web, a signed transmittal form or a signed
 application data sheet (ADS) is recommended for identification purposes, and any
 nonpublication request and certification that accompanies the application must be
 signed. The correspondence address must be set forth in either an application data
 sheet or clearly set forth in another paper submitted with the application, which
 must be signed. See 37 CFR 1.33(a) . 
 

 The presentation to the USPTO (whether by signing, filing,
 submitting, or later advocating) of any document constitutes a certification under
 37 CFR
 11.18(b) . See 37 CFR 1.4(d)(4) .
 

 G. Submission of Pre-Grant (Eighteen-Month) Publication Requests via
 EFS-Web EFS-Web enables registered users to electronically submit
 pre-grant publication requests for amended publication, redacted publication,
 early publication, voluntary publication, or republication under 37 CFR
 1.215 , 1.217 , 1.219 , and
 1.221(a) via EFS-Web. When filing pre-grant publication
 requests via EFS-Web, the appropriate form-fillable application data sheet
 (PTO/AIA/14 or PTO/SB/14) is required to be used for fulfilling the bibliographic
 data requirements. An electronic submission for voluntary publication, amended
 publication, republication ( 37 CFR 1.221(a) ) or redacted
 publication must be submitted as a “Pre-Grant Publication” by selecting the
 “Pre-Grant Publication” option on the EFS-Web data collection screen. It is not
 sufficient for a user to submit a document via EFS-Web requesting amended
 publication, redacted publication, voluntary publication, or republication without
 also selecting the “Pre-Grant Publication” option on the EFS-Web data collection
 screen.
 

 While the Office may publish certain amendments in
 the pre-grant publication, to be entitled to have the patent application
 publication be based upon a copy of the application (specification, drawings, and
 the application data sheet and/or the inventor’s oath or declaration) as amended,
 applicant must supply such a copy via EFS-Web as previously set forth. See
 37 CFR
 1.215(c) .
 

 H. Submission of Supplemental Examination Requests via EFS-Web Patent owners may submit a request for supplemental
 examination via EFS-Web. When filing a new request for supplemental examination,
 the patent owner should select the filing option “New application/proceeding,” and
 then select “Supplemental Examination.” Any paper(s) that are to be filed in an
 existing supplemental examination proceeding, and any paper(s) that are to be
 filed in a reexamination proceeding ordered as a result of a supplemental
 examination proceeding, may be filed by: (1) selecting “Existing
 application/patent/proceeding” (e.g., a proceeding that has already been assigned
 a control number); (2) selecting “Documents/Fees for an existing
 application/proceeding”; and (3) entering the assigned control number and
 confirmation number for the proceeding.
 

 I. Filing of Third Party Preissuance Submissions and Citation of Prior Art
 and Written Statements in Patent Files Filed via EFS-Web Registered and unregistered users may submit a
 third-party preissuance submission for any non-provisional utility, design, or
 plant application, including any continuing application. The application may be
 pending or abandoned and need not be published. To submit a third-party
 preissuance submission, the option “Third-Party Preissuance Submission under
 37
 CFR 1.290 ” must be selected. To submit a Third-Party
 Preissuance Submission, sign on to EFS-Web, and select the “Existing
 application/patent”option. The Web screen will expand to display additional
 options. Select the “Third-Party Preissuance Submission under 37 CFR
 1.290 ” option and enter the Application Number and
 Confirmation Number. The Confirmation Number can be obtained by viewing the
 application in the PAIR System. This places the submission in a segregated area
 separate from the application file. After review by appropriate USPTO personnel,
 the submission may be placed in the application file.
 

 Registered and unregistered users may submit a prior
 art and/or written statement submission for entry into a patent file under
 37 CFR
 1.501 . The patent must be enforceable for the submission to
 be entered. A submission into a patent file under 37 CFR 1.501 
 cannot be filed via EFS-Web in design or plant patents. To submit a
 37 CFR
 1.501 submission, select “Prior Art Submission into Patent
 File under 37
 CFR 1.501 ” and enter the Application Number and Patent
 Number. This places the submission in a segregated area separate from the patent
 file. After review by appropriate USPTO personnel, the submission may be placed in
 the patent file.
 

 J. Submission of Interim Copies of Foreign Priority Documents via
 EFS-Web Interim copies of foreign priority documents as
 provided for in 37 CFR 1.55(j) may be
 submitted via EFS-Web in (i) applications filed under 35 U.S.C.
 111(a) , except for plant patent applications and design
 applications, and (ii) national stage applications under 35 U.S.C.
 371 . See 37 CFR 1.55 for details
 regarding claims for foreign priority, including the timing for submitting interim
 copies. See also MPEP § 215 et seq. 

 The following are Frequently Asked Questions (FAQs)
 regarding interim copies of foreign priority applications:
 

 
 1. If an applicant submits an interim copy of a
 foreign priority application, will the applicant still need to provide a
 certified copy of the foreign priority document? How will an interim copy
 submission be reflected in the USPTO’s records?
 
 Yes. If an applicant files an interim
 copy of a foreign priority application, in compliance with
 37 CFR 1.55(j) ,
 the applicant must provide a certified copy of the foreign priority
 document before patent grant in order to perfect the priority claim.
 An interim copy of a foreign priority application will be entered into
 the file wrapper of the application in which it was filed and labeled
 as “Interim copy of Foreign Priority Document.”
 

 
 

 2. Are there any special instructions for filing an
 interim copy of the foreign priority application?
 
 Yes. Main parts of the interim copy of
 the foreign priority application, i.e., Abstract, Drawings,
 Specification, Claims, and where applicable, Sequence Listing or
 Computer Program Listings, along with the separate cover sheet
 required by 37 CFR 1.55(j) ,
 may be filed as a single PDF file via EFS-Web (or as a single paper
 document). The PDF file will be stored in the Image File Wrapper of
 the application, and applicants must select the document description
 “Interim copy of Foreign Priority Application” to index this document
 when filing online.
 

 Application parts that were filed in a
 foreign patent office only as plain text computer files (e.g., TXT
 file), such as a Sequence Listing, lengthy Tables(s), or Computer
 Program Listing appendix, may be filed as a TXT file via EFS-Web (or
 on compact disc). When filing online via EFS-Web, applicants must
 select the document description “Interim copy of Foreign Priority
 (text file)” to index a plain text file part of the application.
 Please note that EFS-Web will not perform preliminary validation on an
 interim copy sequence listing text file, and a sequence listing in an
 interim copy of a foreign priority document over 25 MB must be split
 into multiple files under the 25 MB upload limit . If a TXT file is
 filed on compact disc, the compact disc must be labeled as “Text File
 of Interim Copy of Foreign Priority Application” along with (1) the
 country code and application number of the foreign priority document,
 (2) at least two pieces of identifying information for the application
 (e.g., application number, docket number, title, etc.) in which the
 interim copy of the foreign application was filed, and (3) if multiple
 compact discs are submitted, a label indicating their order (e.g., “1
 of X”).
 

 The file name of each TXT file must
 begin with the country code and application number of the foreign
 priority application of which it is a part (any punctuation or space
 in the application number must either be omitted or replaced with a
 dash “-“ or underscore ”_” character); e.g.
 “EP111838637_SequenceListing.txt” or “EP_11183863_7_Table 2”. Where an
 original TXT file must be split into multiple parts, the file name for
 each part should indicate the order; for example,
 EP111838637_SeqList_part1of2.txt and EP111838637_SeqList_part2of2.txt.
 
 

 
 

 K. Submission of Photographs and Drawings via EFS-Web When applicants are required to submit drawings in patent
 applications, black and white line drawings as prescribed in 37 CFR
 1.84(a)(1) are required except as follows. Pursuant to
 37 CFR
 1.84(a)(2) , color drawings are permitted in design
 applications filed under 35 U.S.C. chapter 16. As stated in 37 CFR
 1.84(a)(2) color drawings are not ordinarily permitted in
 utility patent applications, and as stated in 37 CFR 1.84(b) , photographs
 are not ordinarily permitted in utility or design patent applications, but the
 USPTO will accept photographs in utility or design patent applications, or color
 drawings in utility patent applications, if they are the only practicable medium
 for illustrating the claimed subject matter. The photographs and color drawings
 submitted in utility or design patent applications must be of sufficient quality
 such that all details in the photographs and drawings are reproducible in black
 and white in the printed patent. 
 

 Drawings submitted in international applications (PCT) are
 required to comply with PCT Rule 11.13 , which does not
 permit color drawings. Furthermore, there is no provision for photographs in
 international applications. Nevertheless, black and white photographs will be
 accepted where it is impossible to present in a drawing what is to be shown (e.g.,
 crystalline structures). Color photographs are not permitted in international
 applications. Applicants should, where possible, adhere to PCT Rule
 11.13 and provide any necessary explanation of relevant
 colors in the description, since black and white drawings may be required by some
 offices in the national phase. Providing drawings and photographs in black and
 white will also help avoid receiving an invitation from the United States
 Receiving Office (RO/US) to comply with PCT Rule 11.13 . Furthermore,
 the RO/US converts color drawings/photographs into black and white TIFF images,
 and such conversion may result in details being lost. Similarly, the International
 Bureau will, for international publication purposes, convert color
 drawings/photographs into black and white (not grayscale), which may result in
 details being lost. Consequently, conversion from color to black and white could
 impact the disclosure of the invention in the international application and affect
 the processing of the international application in the international and national
 phases.
 

 Color drawings and photographs (in black and white
 or in color) may be submitted in international design applications as provided
 under section 401 of the Administrative Instructions for the Application of the
 Hague Agreement. See subsection N for additional information concerning
 international design applications.
 

 The USPTO may object to the drawings and photographs, and require
 corrections or deletions if they do not comply with 37 CFR 1.84 
 or PCT Rule
 11.13 . The USPTO will accept color drawings or photographs
 in utility applications only after granting a petition explaining why the color
 drawings or photographs are necessary ( 37 CFR 1.84 ). Additionally,
 because color drawings are not permitted in international applications (PCT),
 color drawings and color photographs filed in a national stage application under
 35 U.S.C.
 371 will be treated as an amendment and will be objected to
 if they introduce new matter. 
 

 1. Types of Photographs and Drawings Permitted to be Filed via
 EFS-Web Black and white line drawings may be submitted via EFS-Web in
 the types of applications and proceedings listed in subsection B.1., above. 
 However, photographs, color drawings, grayscale drawings, and other drawings
 that are not black and white line drawings may be submitted via EFS-Web in only
 the following types of applications and proceedings: 
 

 
 (1) Nonprovisional design patent applications, including
 reissue design patent applications;
 

 (2) Provisional applications under 35 U.S.C.
 111(b) ;
 

 (3) Nonprovisional utility patent applications under
 35
 U.S.C. 111(a) , including reissue utility patent
 applications;
 

 (4) U.S. national stage applications under 35 U.S.C.
 371 ;
 

 (5) International design applications;

 (6) Reexamination proceedings for utility or design patents;
 
 

 (7) Supplemental examination proceedings under
 35 U.S.C. 257 .
 

 
 Only black and white photographs, and black and white line
 drawings, may be submitted via EFS-Web in international applications (PCT).
 

 2. Document Description for Photograph and Drawings Users must select the correct document description when
 submitting photographs and drawings via EFS-Web. Selecting an incorrect
 document description may cause the photographs and drawings to be processed in
 a quality that is not sufficient for examination and publication. Applicant
 must select: 
 

 
 (1) “ Drawings – only black and white line
 drawings ” (document code “DRW”) for the following:
 
 (a) Black and white line drawings in:
 
 (i) provisional applications under
 35 U.S.C.
 111(b) ;
 

 (ii) nonprovisional utility patent
 applications under 35 U.S.C.
 111(a) , including reissue utility
 patent applications;
 

 (iii) international applications (PCT) and national
 stage applications under 35 U.S.C.
 371 ; and
 

 (iv) reexamination proceedings for utility
 patents.
 

 
 

 These drawings will be converted into TIFF images
 and stored in IFW.
 

 
 
 (b) Black and white line drawings in
 design applications, including reissue design
 patent applications, international design applications, and
 reexamination proceedings for design patents. These drawings will
 be stored in SCORE, and a black and white copy will be stored in
 IFW along with a SCORE placeholder sheet.
 

 
 

 (2) “ Drawings – other than black and white
 line drawings ” (document code “DRW.NONBW”) for the
 following:
 
 (a) Photographs, color drawings, grayscale drawings,
 and other drawings that are not black and white line drawings
 in:
 
 (i) provisional applications under
 35 U.S.C.
 111(b) ;
 

 (ii) nonprovisional utility and design patent
 applications under 35 U.S.C.
 111(a) , including reissue utility and
 design patent applications;
 

 (iii) national stage applications under
 35 U.S.C.
 371 ;
 

 (iv) international design
 applications;
 

 (v) reexamination proceedings for utility patents
 and design patents; and
 

 (vi) supplemental examination
 proceedings.
 

 
 

 These drawings will be stored in the Supplemental
 Complex Repository for Examiners (SCORE), and a black and white
 copy will be stored in IFW along with a SCORE placeholder
 sheet.
 

 
 
 (b) Black and white photographs, and grayscale
 drawings, in international applications (PCT). These drawings will
 be stored in SCORE, and a black and white copy will be stored in
 IFW along with a SCORE placeholder sheet.
 

 
 

 3. Additional Requirements For color drawings in utility patent applications, a petition
 filed under 37 CFR 1.84(a)(2) explaining why the color drawings are
 necessary is required. See MPEP § 608.02 . Pursuant to
 37 CFR
 1.84(a)(2)(ii) , only one set of such color drawings is
 necessary when filing via EFS-Web.
 

 EFS-Web supports the use of black and white, color, or
 grayscale images within the PDF document. However, grayscale or color images
 filed as “drawings - other than black and white line drawings” in a utility
 patent application will be electronically converted to black and white images
 when stored into IFW. The quality of black and white images may be
 degraded. To obtain sufficient quality so that all details in the images are
 reproducible in black and white in the eighteen-month publication and the
 printed patent, images should be scanned at a minimum resolution of 300 DPI. 
 Furthermore, PAIR is only capable of displaying portrait orientation. Users
 should not submit landscape oriented drawings via EFS-Web because PAIR will
 automatically convert the image to portrait, which may cause the images to be
 distorted during viewing.
 

 For international design applications, EFS-Web
 supports the use of black and white, color, or grayscale images within a JPEG
 document. To obtain sufficient image quality for purposes of WIPO publication
 of the international application and any subsequent U.S. patent that may issue
 thereon, image resolution should be between 250x250 DPI to 300x300 DPI. In
 addition, the images should have at least a one pixel border, and preferably a
 border of between 1-20 pixels. See subsection N for further information
 concerning reproductions in international design applications.
 

 L. Text Files, JPEG Files and File Limits 

 1. Biotechnology Sequence Listings, Large Tables, or Computer Program
 Listing Appendices Submitted as Text Files via EFS-Web All of these types of documents may be submitted as ASCII text
 files with a “.txt” extension (e.g., “seqlist.txt”) for applications filed
 under 35 U.S.C. 111 , national stage applications under
 35 U.S.C.
 371 , reexamination proceedings, and supplemental
 examination proceedings. The compact disc practice of 37 CFR 1.52(e) and 1.821 et seq. remains as a filing option. The filing of
 international applications (PCT) via EFS-Web is discussed in subsection M.,
 below. 
 

 As discussed in MPEP § 608.05 , users may
 submit the following document types, (specified in 37 CFR
 1.52(e) ), as ASCII text files via EFS-Web instead of on
 compact disc, provided the specification contains a statement in a separate
 paragraph that incorporates by reference the material in the ASCII text file
 identifying the name of the ASCII text file, the date of creation, and the size
 of the ASCII text file in bytes:
 

 
 (1) A computer program listing (see 37 CFR
 1.96 );
 

 (2) A sequence listing (submitted under 37 CFR
 1.821 ); or
 

 (3) Any individual table (see 37 CFR
 1.58 ), if the table is more than 50 pages in
 length, or if the total number of pages of all of the tables in an
 application exceeds 100 pages in length. A table page is a page printed
 on paper in conformance with 37 CFR 1.52(b) and
 1.58(c) .
 

 
 If the “Sequence Listing” required by
 37 CFR
 1.821(c) was submitted in ASCII text format in an
 international application (PCT), indicated on the Request as part of the
 international application, and published as part of the international
 application for which national stage is entered under 35 U.S.C.
 371 , then no further submission, amendment, or
 incorporation by reference into the specification is required.
 

 The requirements of 37 CFR 1.52(e)(3)-(6) for
 documents submitted on compact disc are not applicable to computer program
 listings, sequence listings, and tables submitted as ASCII text files via
 EFS-Web. However, each text file must be in compliance with ASCII and have a
 file name with a “.txt” extension. Further, the specification must contain an
 incorporation-by-reference of the material in the ASCII text file in a separate
 paragraph identifying the name of the ASCII text file, the date of creation,
 and the size of the ASCII text file in bytes similar to the requirements of
 37 CFR
 1.52(e)(5) and 1.77(b)(5) for compact
 discs. See MPEP §
 608.05 .
 

 It is recommended that a sequence listing be submitted in an
 ASCII text file via EFS-Web rather than in a PDF file. If a sequence listing
 ASCII text file submitted via EFS-Web on the application filing date complies
 with the requirements of 37 CFR 1.824(a)(2)-(6) and
 (b) , and applicant has not filed a sequence listing in a
 PDF file (or on paper) on the same day, the text file will serve as both the
 paper copy required by 37 CFR 1.821(c) and the
 computer readable form (CRF) required by 37 CFR 1.821(e) . Thus, the
 following are not required and should not be submitted: (1) a
 second copy of the sequence listing in a PDF file; (2) a statement under
 37 CFR
 1.821(f) (indicating that the paper copy and CRF copy of
 the sequence listing are identical); and (3) a request to use a compliant
 computer readable “Sequence Listing” that is already on file for another
 application pursuant to 37 CFR 1.821(e) . If such a
 request is filed, the USPTO will not carry out the request but will use the
 sequence listing submitted in an ASCII text file on filing of the application
 via EFS-Web. Checker software that the applicant may use prior to submission
 to check a sequence listing for compliance with the requirements of
 37 CFR
 1.824 is available on the USPTO website at www.uspto.gov/patents-getting-started/patent-basics/
 types-patent-applications/utility-patent/checker-
 version-446 . The User Notes on the Checker website should be
 consulted for an explanation of errors that are not indicated, and content that
 is not verified, by the Checker software. 
 

 See subsection M.5. below for more information
 on the sequence listing in international applications (PCT) and national stage
 applications under 35 U.S.C. 371 .
 

 If a user submits a sequence listing (under 37 CFR 1.821(c) and
 (e) ) as an ASCII text file via EFS-Web in response to a
 requirement under 37 CFR 1.821(g) or (h) , the
 sequence listing text file must be accompanied by a statement that the
 submission does not include any new matter which goes beyond the disclosure of
 the application as filed. In addition, if a user submits an amendment to, or a
 replacement of, a sequence listing (under 37 CFR 1.821(c) and
 (e) ) as an ASCII text file via EFS-Web, the sequence
 listing text file must be accompanied by: (1) a statement that the submission
 does not include any new matter, and (2) a statement that indicates support for
 the amendment in the application, as filed. See 37 CFR
 1.825 . The specification must be amended to contain an
 incorporation-by-reference statement of the sequence listing in both of these
 instances.
 

 Submission of the sequence listing in a PDF file on the
 application filing date is not recommended. Applicant must still provide the
 CRF text file required by 37 CFR 1.821(e) , and the
 sequence listing in the PDF file will not be excluded when determining the
 application size fee. The USPTO prefers the submission of a sequence listing
 in an ASCII text file via EFS-Web on the application filing date because as
 previously stated, if applicant has not filed a second copy of the sequence
 listing in a PDF file (or on paper) on the same day, the text file will serve
 as both the paper copy required by 37 CFR 1.821(c) and the CRF
 required by 37 CFR 1.821(e) . Any sequence listing submitted in PDF
 format (or on paper) on the application filing date is treated as the paper
 copy required by 37 CFR 1.821(c) . If
 applicant submits a sequence listing in both a PDF file and an ASCII text file
 via EFS-Web on the application filing date, a statement that the sequence
 listing content of the PDF copy and the ASCII text file copy are identical is
 required. In situations where applicant files the sequence listing in PDF
 format and requests the use of the CRF of another application under
 37 CFR
 1.821(e) , applicant must submit a letter and request in
 compliance with 37 CFR 1.821(e) and a
 statement that the PDF copy filed in the new application is identical to the
 CRF filed in the other application. 
 

 2. How Text Files are Counted for Application Size Fee Purposes Any sequence listing submitted as an ASCII text file via
 EFS-Web that is otherwise in compliance with 37 CFR
 1.52(e) , 1.824(a)(2)-(6) and
 (b) , and any computer program listing submitted as an
 ASCII text file via EFS-Web that is otherwise in compliance with
 37 CFR
 1.52(e) and 1.96 , will be excluded when
 determining the application size fee required by 37 CFR
 1.16(s) as per 37 CFR 1.52(f)(1) .
 

 Regarding a table submitted as an ASCII text file via EFS-Web
 that is part of the specification or drawings, each three kilobytes of content
 submitted will be counted as a sheet of paper for purposes of determining the
 application size fee required by 37 CFR 1.16(s) or
 1.492(j) . Each table should be submitted as a separate
 text file. Further, the file name for each table should indicate which table
 is contained therein. 
 

 3. The size limit for text files and JPEG files One hundred (100) megabytes is the size limit for sequence
 listing text files submitted via EFS-Web. If a user wishes to submit an
 electronic copy of a sequence listing text file that exceeds 100 megabytes, it
 is recommended that the user file the application without the sequence listing
 using EFS-Web to obtain the application number and confirmation number, and
 then file the sequence listing text file on compact disc in accordance with
 37 CFR
 1.52(e) on the same day by using Priority Mail
 Express ® from the USPS in accordance with
 37 CFR
 1.10 , or by hand delivery, in order to secure the same
 filing date for all parts of the application. Note: a submission of a sequence
 listing in electronic form of 300 MB or more in size is subject to the fee set
 forth in 37 CFR 1.21(o). Alternatively, a user may submit the application on
 paper and include the electronic copy of the sequence listing text file on
 compact disc in accordance with 37 CFR 1.52(e) . Sequence
 listing text files may not be partitioned into multiple files for filing via
 EFS-Web as the EFS-Web system is not currently capable of handling such
 submissions. The sequence listing must be in a single ASCII plain text file.
 A sequence listing ASCII plain text file that does not fit on a single compact
 disc may be split into multiple file parts for subsequent reassembly of the
 single ASCII plain text file using software designed for that purpose. If the
 sequence listing is submitted on multiple compact discs, the compact discs must
 be labeled to indicate their order (e.g., “1 of X”, “2 of X”).
 

 For nearly all other file types, 25 megabytes is
 the size limit. If a user wishes to submit an electronic copy of a computer
 program listing or table that is larger than 25 megabytes, it is recommended
 that the electronic copy be submitted on compact disc via Priority Mail
 Express ® from the USPS in accordance with
 37 CFR
 1.10 on the date of the corresponding EFS-Web filing in
 accordance with 37 CFR 1.52(e) if the user
 wishes the electronic copy to be considered to be part of the application as
 filed. Alternatively, the user may submit the application on paper and include
 the electronic copies on compact disc in accordance with 37 CFR
 1.52(e) . Another alternative would be for the user to
 break up a computer program listing or table file that is larger than 25
 megabytes into multiple files that are no larger than 25 megabytes each and
 submit those smaller files via EFS-Web. If the user chooses to break up a
 large computer program listing or table file so that it may be submitted
 electronically, the file names must indicate their order ( e.g., “1 of X”, “2
 of X”).
 

 The exceptions to the 25-megabyte size limit are
 JPEG image files submitted via EFS-Web in international design applications and
 PDF image files submitted in international design applications using the
 “Attach Reproductions” section of the “Attach Documents” EFS-Web screen. These
 are limited to a file size of two megabytes. See subsection N, below for
 additional information concerning international design applications.
 

 4. The Limit on the Number of Electronic Files That May Be Included in a
 Single EFS-Web Submission The file number limit per submission is sixty (60) electronic
 files, as EFS-Web is not currently capable of accepting more than 60 electronic
 files in any one submission (subject to certain exceptions for international
 design applications set forth in the next paragraph). Accordingly, if an
 application file includes more than 60 electronic files, it is recommended that
 the user submit 60 or fewer files in an initial filing via EFS-Web at which
 time the application will be assigned an application number. Note that
 regarding the 60 electronic file limit, an applicant may upload and validate in
 sets of up to 20 files each, with a limit of three sets of 20 files. If
 applicant chooses to divide a file into multiple parts using the multi-doc
 feature, each part is counted as one file. Then the user may submit any
 additional electronic files as follow-on documents later on the same day as the
 initial filing. This will allow all of the electronic files making up the
 application to receive the same filing date.
 

 For international design applications, the limit
 of 60 electronic files per submission excludes electronic files of
 reproductions that are attached via the “Attach Reproductions” section of the
 “Attach Documents” screen in EFS-Web (available for submissions through the
 USPTO as an office of indirect filing prior to transmittal of the application
 to the International Bureau) or are attached via the “Attach JPEG
 Reproductions” section of the “Attach Documents” screen in EFS-Web (available
 after transmittal of an international design application to the International
 Bureau or, where the USPTO was not an office of indirect filing, after receipt
 of the WIPO publication of an international design application designating the
 United States). The “Attach Reproductions” section allows up to 5000 (up to 100
 designs with 50 views per design) additional single-page PDF and JPEG image
 files to be uploaded in one submission. The “Attach JPEG Reproductions” section
 allows up to 50 additional JPEG image files to be uploaded in one submission.
 See subsection N for further information concerning international design
 applications. 
 

 5. Complex Work Units may be Submitted Electronically via EFS-Web Under the Complex Work Unit Pilot Program,
 complex work units (such as chemical structure drawings, mathematical formulae,
 and three-dimensional protein crystalline structure data and table data) may be
 submitted as ASCII text files via EFS-Web for applications filed under
 35
 U.S.C. 111 , national stage submissions under
 35 U.S.C.
 371 , reexamination proceedings, and supplemental
 examination proceedings. Complex work units cannot be submitted as ASCII text
 files in international applications (PCT). More information is available on the
 USPTO website at www.uspto.gov/patent/initiatives/complex-
 work-unit-pilot-program .
 

 M. New International Applications (PCT), New National Stage Submissions,
 and Associated Documents The term “international application (PCT)” as used in
 this framework refers to an international application filed under the PCT. The
 term “national stage submission” as used in this subsection of the framework
 refers to an international application (PCT) designating the United States where a
 submission has been made to enter the U.S. national stage under 35 U.S.C.
 371 .
 

 1. New International Applications (PCT) Filed Under the PCT With the United
 States Receiving Office EFS-Web enables users to electronically file
 international applications (PCT) with the United States Receiving Office
 (RO/US). The required page size for international applications (PCT) filed via
 EFS-Web in PDF format is A4 (29.7 cm x 21 cm). See PCT Rule
 11.5 . See subsection M.7., below, for more information
 about follow-on submissions during the international phase.
 

 (a) The Request: EFS-Web permits users to submit zip files created by
 PCT-SAFE or ePCT. A zip file created using PCT-SAFE or ePCT will contain the
 PCT Request and a fee calculation sheet in PDF format, which are converted
 to TIFF images and loaded into the image file wrapper by the USPTO. PCT-SAFE
 and ePCT users may create and electronically sign using an S-signature the
 PCT Request, including the Declaration of Inventorship, for the purposes of
 filing via EFS-Web with the United States Receiving Office. PCT-SAFE and
 ePCT users may create a .zip file containing a validated PCT Request which
 will entitle the applicant to a reduction of the international filing fee
 when the PCT-SAFE or ePCT zip file is included in a new international
 application (PCT) filed with the United States Receiving Office via EFS-Web.
 See Use of WIPO's ePCT System for Preparing the PCT Request for
 Filing as Part of an International Application With the USPTO as
 Receiving Office, 81 FR 27417 (May 6, 2016). Alternatively, if
 the applicant chooses not to use PCT-SAFE or ePCT to create the PCT Request
 and fee calculation sheet, the applicant may use Form PCT/RO/101 (or
 equivalent) for the Request and attach the PDF file to the EFS-Web
 submission. 
 

 (b) Other Documents All other documents including application
 parts (e.g., description, claims, drawings and abstract) and accompanying
 items must be separately prepared as PDF files and attached to the
 EFS-Web submission. 
 

 See subsection M.5., below, for more
 information on sequence listings.
 

 More information regarding filing
 international applications (PCT) is available on the USPTO website
 ( www.uspto.gov/patents/process/file/efs/
 guidance/indexing-pct-new-appl.pdf ).
 

 2. Specific Requirements for Drawings or Photographs 

 (a) International Application (PCT) Drawings submitted in international
 applications (PCT) are required to comply with PCT Rule
 11.13 , which does not permit color drawings.
 Furthermore, there is no provision for photographs within the PCT
 Regulations. Nevertheless, black and white photographs will be
 accepted where it is impossible to represent in a drawing what is to
 be shown (e.g., crystalline structures). Color photographs are not
 permitted in international applications (PCT). See also subsection
 K.1, above.
 

 The United States Receiving Office may
 invite the applicant to correct any defects in the drawings or
 photographs if they do not comply with PCT Rule
 11.13 . 
 

 (b) National Stage Submission Since color drawings and color
 photographs are not permitted in international applications (PCT)),
 color drawings and color photographs filed in a national stage
 application will be treated as an amendment and will not be entered if
 they introduce new matter. See 37 CFR 1.121(d) and
 (f) and subsection K.1., above, regarding a
 petition to accept color drawings.
 

 3. Specific Requirements Pertaining to New National Stage
 Submissions, Including the Payment of the Basic National Fee 

 (a) Online Payment Option The basic national fee is required in
 order for an international application (PCT) to enter the national
 stage under 35 U.S.C. 371 .
 See 37 CFR 1.495 .
 Users are permitted to submit the basic national fee with the
 national stage submission under 35 U.S.C. 371 
 via EFS-Web using the USPTO payment page.
 

 (b) Alternative Payment Methods If the payment system is unavailable,
 EFS-Web will not permit users to make payment using the interactive
 payment interface. The applicant may pay the basic national fee by
 either (a) including a written authorization to charge the fee to a
 deposit account together with the national stage submission under
 35 U.S.C. 371 ,
 (b) hand-delivering the fee payment, or (c) sending the payment via
 Priority Mail Express ® from the USPS in
 accordance with 37 CFR 1.10 on
 the same date that the national stage submission is electronically
 filed. However, applicants may not submit the basic national fee
 via facsimile transmission. See 37 CFR
 1.6(d)(3) and 1.8(a)(2)(i)(F) .
 

 For more information on fees
 associated with national stage submissions under 35 U.S.C.
 371 , see MPEP §
 1893.01(c) .
 

 4. New National Stage Submissions to Enter the U.S. National Stage
 under 35 U.S.C. 371 

 (a) Validation by PALM New National Stage Submission: For any
 new national stage submissions under 35 U.S.C.
 371 filed via EFS-Web, the system automatically
 checks the PALM system to verify that no previous national stage
 submission has been made for the particular international application
 (PCT) referenced in the new national stage submission. EFS-Web users
 should confirm that the correct international application (PCT) number
 is entered on the EFS-Web screen to insure that the correct
 international application (PCT) is initialized as a national stage
 application. If the PALM system finds a previous national stage
 submission has been made, the user will be given a warning message and
 an opportunity to verify, and correct if necessary, the referenced
 international application (PCT) number. If the PALM system is
 unavailable, EFS Web cannot complete the PALM verification, and thus
 EFS-Web will not permit a new national stage submission under
 35 U.S.C. 371 to be filed. Therefore, if PALM
 is unavailable, applicants may send a new national stage submission by
 hand delivery, or by Priority Mail Express ® 
 from the USPS in accordance with 37 CFR 1.10 , to
 timely submit documents and fee(s) for national stage entry.
 Applicants may not file either a copy of the international application
 or the basic national fee necessary to enter the national stage as
 specified in 37 CFR 1.495(b) via
 facsimile transmission. See 37 CFR 1.6(d)(3) 
 and 1.8(a)(2)(i)(F) .
 

 (b) Transmittal Letter It is recommended that applicants continue to use the
 Transmittal Letter to the United States Designated/Elected Office
 (DO/EO/US) Concerning a Submission Under 35 U.S.C.
 371 (Form PTO-1390) when electronically filing
 documents for entry into the U.S. national stage under
 35 U.S.C. 371 . The PTO-1390 Form includes
 useful information that is not otherwise collected by EFS-Web at this
 time. EFS-Web users should confirm that the correct international
 application (PCT) number is entered on the EFS-Web screen to help
 insure that the correct international application (PCT) is initialized
 as a national stage submission. A petition under 37 CFR
 1.182 with the appropriate fee under
 37 CFR 1.17(f) may
 be required to correct inconsistencies in the international
 application (PCT) number indicated in the submission to enter the
 national stage under 35 U.S.C. 371 

 (c) Application Data Sheet An application data sheet is recommended
 for new national stage submissions.
 

 (d) Initial Processing If a timely submission to enter the national stage of an
 international application (PCT) is compliant with the conditions of
 35
 U.S.C. 371 and other applicable requirements, Form
 PCT/DO/EO/903 indicating acceptance of the application as a national
 stage submission under 35 U.S.C. 371 will be
 issued in addition to the filing receipt.
 

 5. Specific Requirements for Nucleotide and Amino Acid Sequence
 Listings in International Applications (PCT) 

 (a) Sequence Listing Under PCT Rule 5.2(a) , the
 sequence listing must always be presented as a separate part of the
 description. When filing an international application (PCT) using
 EFS-Web, the sequence listing part of the description may be submitted
 either as a single ASCII text file with a “.txt” extension (e.g.,
 “seqlist.txt”) or as a PDF file. Note that 100 megabytes is the size
 limit for submitting a sequence listing text file via EFS-Web. If the
 sequence listing is submitted as an ASCII text file, applicant need not
 and should not submit any additional copies. The single ASCII text file
 is preferred because the ASCII text file will serve both as the sequence
 listing part of the description under PCT Rule 5.2 and the electronic
 form under PCT Rule
 13ter.1(a) in the absence of a
 PDF sequence listing file. The check list of the PCT Request provided via
 EFS-Web together with the international application (PCT) must indicate
 that the sequence listing forms part of the international application. 
 Furthermore, the statement as set forth in paragraph
 4(v) of Annex C (Administrative Instructions under
 the PCT, AI Annex C), that “the information recorded in electronic form
 furnished under Rule
 13ter is identical to the
 sequence listing as contained in the international application,” is not
 required. Also the sequence listing in an ASCII text file will not be
 taken into account when calculating the application sheet count, i.e., no
 excess sheet fee will be required for the sequence listing text file.
 

 Submission of the sequence listing part of the
 description in a PDF file is not recommended because the applicant would
 also be required to supply a copy of the sequence listing in an ASCII
 text file to the appropriate authority for purposes of international
 search and/or international preliminary examination in accordance with
 paragraph 40 of AI Annex C. When a sequence listing is filed via EFS-Web
 in a new international application (PCT) in both a PDF file and an ASCII
 text file, but the Request form Box No. IX does not indicate which one
 forms part of the international application, the PDF copy of the sequence
 listing will be considered to form part of the application and the ASCII
 text file will be considered an accompanying item for search purposes
 under PCT Rule 13ter.1(a) only. The
 pages of the PDF file that contain the sequence listing will be taken
 into account when calculating the application sheet count, i.e., excess
 sheet fees may be required for the PDF file.
 

 (b) File Size and Quantity Limits One hundred (100) megabytes is the size limit for
 sequence listing text files submitted via EFS-Web. Sequence listing text
 files must not be partitioned into multiple files for filing via EFS-Web
 as the EFS-Web electronic filing system is not currently capable of
 handling such submissions. For all other file types EFS-Web is currently
 not capable of accepting files that are larger than 25 megabytes. 
 Additionally, a single EFS-Web submission may include no more than 60
 electronic files. Note that, regarding the limit of 60 files, an
 applicant may upload and validate in sets of up to 20 files each, with a
 limit of three sets of 20. If applicant chooses to divide a file into
 multiple parts using the multi-doc feature, each part is counted as one
 file. The need to submit unusually large sequence listings and/or
 numerous electronic files may prevent applicant from making a complete
 international application (PCT) filing in a single EFS-Web submission. 
 Registered EFS-Web users may file part of the international application
 (PCT) to obtain the international application (PCT) number and the
 confirmation number, and then file the remainder of the international
 application (PCT) on the same day as one or more follow-on submissions
 using EFS-Web, in order to secure the same filing date for all parts of
 the international application (PCT). 
 

 In the situation where applicant needs to file a sequence
 listing that is over one hundred (100) megabytes, applicant may use
 EFS-Web to file the international application (PCT) without the sequence
 listing to obtain the international application (PCT) number and the
 confirmation number, and then file the sequence listing on compact discs
 on the same day by using Priority Mail
 Express ® from the USPS in accordance with
 37
 CFR 1.10 , or by hand delivery, in order to secure
 the same filing date for all parts of the international application
 (PCT). However, Priority Mail Express ® from
 the USPS and hand delivered submissions must not contain PDF files and
 must fully comply with the guidelines for filing a sequence listing on
 electronic media as set forth in MPEP §
 2422.03(a) , subsection IV. The check list of
 the PCT Request provided via EFS-Web together with the international
 application (PCT) should indicate that the sequence listing part of the
 description will be filed separately on physical data carrier(s), on the
 same day and in the form of an Annex C/ST.25 text file. The sequence
 listing must be in a single ASCII plain text file. Where a sequence
 listing ASCII plain text file does not fit on a single compact disc
 software may be may used to prepare multiple concatenated file parts for
 submission on multiple compact discs. If the sequence listing is
 submitted on multiple compact discs, the compact discs must be labeled to
 indicate their order (e.g., “1 of X”, “2 of X”). This allows the multiple
 parts to automatically join and form the single ASCII plain text file
 when the properly labeled multiple compact discs are subsequently
 processed by the USPTO.
 

 (c) Fee Determination for International Applications (PCT) Containing
 a Sequence Listing The calculation of the international filing fee for an
 international application (PCT), including a sequence listing, filed via
 EFS-Web is determined based on the type of sequence listing file. A
 sequence listing filed in an ASCII text file will not be included in the
 sheet count of the international application (PCT). A sequence listing
 filed in a PDF file will be included in the sheet count of the
 international application (PCT). Therefore, the sheet count for an
 EFS-Web filed international application (PCT) containing both a PDF file
 and a text file sequence listing will be calculated to include the number
 of sheets of the PDF sequence listing.
 

 6. Limitations Concerning Computer Program Listings and Tables
 Related to a Sequence Listing in International Applications
 (PCT) 

 (a) Computer Program Listings There is no provision for computer
 program listings in ASCII text file in international applications
 (PCT).
 

 (b) Tables Related to a Sequence Listing Tables related to a sequence listing
 must be an integral part of the description of the international
 application (PCT), and must not be included in the sequence listing
 part or the drawing part. Such tables will be taken into account when
 calculating the application sheet count, and excess sheet fees may be
 required. When applicant submits tables related to a sequence listing
 in an international application (PCT) via EFS-Web, the tables must be
 in a PDF file. If applicant submits tables related to a sequence
 listing in a text file, such tables will not be accepted as part of
 the international application (PCT). For more information, see
 Sequence Listings and Tables Related Thereto in
 International Applications Filed in the United States Receiving
 Office, 1344 Off. Gaz. Pat. Office 50
 (July 7, 2009).
 

 7. Follow-on Submissions for International Applications (PCT) As previously noted, a sequence listing in an ASCII text
 file, as well as additional PDF files, may be submitted in one or more
 follow-on submissions via EFS-Web. Such follow-on submissions will form
 part of the international application (PCT) if filed on the same date on
 which the international application (PCT) was filed. Note that follow-on
 submissions of PDF files (including, but not limited to, PDF sequence
 listings) may change the number of pages in the international application
 (PCT) and therefore may affect the international filing fee. 
 

 EFS-Web may also be used to submit a
 sequence listing in an ASCII text file after the international filing
 date in response to a requirement made by the United States International
 Searching Authority or United States International Preliminary Examining
 Authority under 37 CFR 1.821(h) and
 PCT
 Rule 13ter. Such sequence listing will not form part of the PCT
 international application as set forth in PCT Rule
 13ter.1(e) .
 

 8. Policy of Annex F of the PCT Administrative Instructions (AI Annex
 F) EFS-Web employs a Web-based approach to document
 submission which is different from the AI Annex F “wrapped, bundled and
 signed package” approach. Thus EFS-Web does not meet the AI Annex F
 requirements. See Annex F of the PCT Administrative Instructions located
 at www.wipo.int/pct/en/texts/ . 
 

 N. International Design Applications and Associated Documents The term “international design application” as used
 in this framework refers to an application for international registration of an
 industrial design filed under the Geneva Act of the Hague Agreement Concerning the
 International Registration of Industrial Designs (“Hague Agreement”). The term
 “Rule” as used in this subsection refers to the “Common Regulations Under the 1999
 Act and the 1960 Act of the Hague Agreement” (as in force on January 1, 2019).
 

 1. New International Design Applications Filed Through the USPTO as an
 Office of Indirect Filing EFS-Web enables registered and unregistered users
 to electronically file new international design applications through the USPTO
 as an office of indirect filing. To submit an international design application
 through EFS-Web, users must select “International Design Application (Hague)
 for filing through the USPTO as an office of indirect filing” after selecting
 “New application/proceeding” on the main EFS-Web screen. The following
 documents should be included in new international design application
 submissions:
 

 (a) Official form (Form DM/1) Applicants filing international design
 applications through the USPTO are required to present the international
 design application on the official form established by the International
 Bureau (i.e., Form DM/1, entitled “Application for International
 Registration”) or on any form having the same form and content as the
 official form. Form DM/1 is available on the website of the International
 Bureau at www.wipo.int/hague/en/forms/ . The DM/1 form includes
 boxes for providing information concerning the applicant, applicant’s
 entitlement to file an international design application, the creator,
 product identification, designations of Contracting Parties, priority claim,
 description, and other relevant information.
 

 Users should use the document description “App
 for Intl Registration (DM/1 or equiv)” for a DM/1 form (or equivalent)
 submitted via EFS-Web. For new international design application submissions,
 EFS-Web will check for the presence of the document description for the DM/1
 form when upload and validation functions are performed and, if not present,
 will alert the user that the DM/1 form is not indicated as being attached.
 EFS-Web will not block submission of a new international design application
 based on the missing document description. If the DM/1 form document
 description is present, EFS-Web will prompt the user to verify that the DM/1
 form indicates applicant’s entitlement to file the international design
 application through the USPTO as an office of indirect filing. The USPTO
 will not transmit an international design application to the International
 Bureau if applicant’s entitlement to file the application through the USPTO
 is not indicated in the submission.
 

 (b) Reproductions Reproductions of industrial designs are
 required in international design applications and may be submitted as
 drawings, photographs, or a combination thereof, and may be in black and
 white or in color. See Rule 9 and Part Four of
 the Administrative Instructions for the Application of the Hague Agreement.
 Reproductions may be submitted through EFS-Web as PDF or JPEG files as set
 forth in the next paragraphs. Technical requirements regarding image files,
 such as resolution, minimum and maximum image size, border width, etc., are
 also set forth on the website of the International Bureau at www.wipo.int/hague/en/how_to/ file/prepare.html .
 

 Reproductions may be submitted as single page
 PDF or JPEG files by attaching the file(s) using the “Attach Reproductions”
 section of the “Attach Documents” screen. Alternatively, applicants may
 attach reproductions as PDFs (including multi-page PDFs) using the “Attach
 Documents other than Reproductions” section of the “Attach Documents”
 screen. Attaching compliant reproductions via the “Attach Reproductions”
 section, rather than the “Attach Documents other than Reproductions”
 section, may help to avoid incurring additional per page publication fees
 that might otherwise be required by the International Bureau. Each image
 file attached through the “Attach Reproductions” section should contain only
 one view of the design. The “Attach Reproductions” section will prompt the
 user to assign a design and view number to each file attached under this
 section. 
 

 In accordance with the technical requirements
 set forth by the International Bureau, EFS-Web will not permit submission of
 any PDF or JPEG file via the “Attach Reproductions” section that exceeds a
 file size of two megabytes. For JPEG submissions, EFS-Web will provide
 warnings where requirements pertaining to image resolution and minimum and
 maximum dimensions have not been satisfied; EFS-Web does not check color
 mode or border size for JPEG images. For PDF submissions via the “Attach
 Reproductions” section, EFS-Web will not permit submission of any PDF file
 that is more than one page. In addition, EFS-Web does not check color mode,
 border size, resolution, or maximum or minimum dimensions of the
 reproduction (other than certain minimum and maximum page size dimensions)
 for PDF images. It is the responsibility of applicants to ensure that
 reproductions satisfy all applicable requirements.
 

 Users attaching reproductions under either the
 “Attach Reproductions” section or the “Attach Documents other than
 Reproductions” section should use the document description “drawings – only
 black and white line drawings” or “drawing – other than black and white line
 drawings”, as appropriate. EFS-Web will provide a warning to users about the
 possibility of incurring additional per page publication fees where
 reproductions are attached via the “Attach Documents other than
 Reproductions” section. EFS-Web will also provide a warning to users where a
 new international design application does not contain an indication that at
 least one reproduction is attached.
 

 (c) Annexes An international design application may be
 accompanied by annexes submitted for the purpose of complying with certain
 national law requirements that may be applicable to a designated Contracting
 Party, for example, the requirement for an inventor’s oath or declaration
 where the United States is designated. Annex forms specific to particular
 Contracting Parties are available on the website of the International Bureau
 at www.wipo.int/
 hague/en/forms/ . Annexes should be attached to the
 EFS-Web submission using the document description “Annex(es) to the DM/1 or
 equivalent”.
 

 More information regarding filing
 international design applications is available on the USPTO website at
 www.uspto.gov/patents-application-
 process/applying-online/efs-web-guidance-and-resources .
 

 2. International Design Application Fees Required by or Payable Through the
 USPTO as an Office of Indirect Filing (a) Transmittal fee: International design applications filed
 through the USPTO as an office of indirect filing are subject to payment of
 a transmittal fee. See 37 CFR 1.1031(a) . Users
 are permitted to submit the transmittal fee via EFS-Web using the USPTO
 payment page. The USPTO will not transmit the international design
 application to the International Bureau if the transmittal fee has not been
 paid to the USPTO. See 37 CFR 1.1045 .
 Applicants are cautioned that an international design application not
 received by the International Bureau within six months from the date the
 international design application is received by the USPTO will not be
 entitled to a filing date as of the date of receipt by the USPTO. See
 Rule
 13 .
 

 (b) International fees payable to WIPO Certain international design application fees
 payable to the International Bureau may be paid through the USPTO as an
 office of indirect filing, provided such fees are paid no later than the
 date of payment of the transmittal fee. See 37 CFR
 1.1031(c) . Applicants are not required to pay such
 fees through the USPTO but rather may pay such fees directly to the
 International Bureau. Furthermore, any payment of such fees through the
 USPTO must be in U.S. dollars. Because all payments made to the
 International Bureau must be in Swiss currency, the U.S. dollar amount
 collected may, when converted to Swiss currency, be different than the
 required Swiss currency amount. Accordingly, applicants are cautioned that
 paying such fees through the USPTO may still result in a requirement by the
 International Bureau to pay additional amounts where the conversion from
 U.S. dollars to Swiss currency results in the International Bureau receiving
 less than the prescribed amounts. See 37 CFR
 1.1031(d) 

 International fees payable to WIPO include the
 prescribed fees set forth under Rule 12(1) (i.e., the basic fee, standard
 designation fee(s), individual designation fee(s), and publication fee) and
 Rule 11(2) (fee for a description exceeding 100 words). The “Calculate Fees”
 screen of EFS-Web does not provide for individual selection of these fees
 but rather provides for input of one lump sum in Swiss francs. The screen
 includes a link to the WIPO Hague System Fee Calculator ( www.wipo.int/hague/en/fees/calculator.jsp ) where users
 can input the appropriate data concerning their international design
 applications, and the WIPO Fee Calculator will determine the total amount of
 fees required in Swiss francs. Users can then copy and paste this amount
 into the “International Fees Payable to WIPO (CHF)” field of the EFS-Web
 Calculate Fees screen, and EFS-Web will calculate the U.S. dollar amount
 based on current exchange rates. EFS-Web will only permit payment of the
 international fees that are payable to WIPO until 12 midnight Eastern Time
 of the date of payment of the transmittal fee required under
 37 CFR 1.1031(a) .
 

 3. Follow-on Submissions in International Design Applications In accordance with the requirements of this
 framework, only registered users may file follow-on submissions via EFS-Web in
 international design applications.
 

 Where an international design application was
 filed with the USPTO as an office of indirect filing, the USPTO will generally
 not forward communications to the International Bureau received after
 transmittal of the application to the International Bureau has been effected.
 Thus, for example, where the International Bureau has sent an invitation
 requiring compliance with a requirement under the Hague Agreement, the
 applicant must file any reply to that invitation directly with the
 International Bureau to avoid abandonment or other loss of rights under the
 treaty. See 37 CFR 1.1045 .
 

 The available document descriptions and fees that
 may be paid through EFS-Web will differ depending on the stage of processing of
 the international design application. After transmittal of the international
 design application to the International Bureau has occurred, the document
 descriptions and fees that may be paid through EFS-Web include those that would
 be relevant for U.S. national processing and examination. Follow-on submissions
 filed after transmittal of the international design application to the
 International Bureau but prior to WIPO publication of the international design
 application designating the United States will generally be presumed to have
 been intended for consideration by the USPTO acting as an examining office for
 the application. Accordingly, action by the Office on any such submission will
 generally be taken after receipt of the WIPO publication of the international
 design application designating the United States.
 

 No follow-on submission or fee payment is
 required from the applicant to initiate examination of an international design
 application that designates the United States. Upon receipt by the Office of
 the WIPO publication of an international design application designating the
 United States, the Office will prepare the application file for examination.
 Registered users may, in accordance with this framework, file follow-on
 submissions in the international design application via EFS-Web relevant to
 U.S. national processing and examination. Reproductions amended pursuant to
 37 CFR
 1.121 may be submitted via EFS-Web as either PDF or JPEG
 electronic files. Any such JPEG file must be attached to the EFS-Web submission
 using the “Attach JPEG Reproductions” section of the “Attach Documents” EFS-Web
 screen. See subsection L.3, above, for JPEG file size limits and subsection
 L.4, above, for the limit on the number of JPEG files that may be attached in
 one submission.
 

 

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