the united states patent and trademark office presents efs-web 1.1 advanced training

United States Patent and Trademark Office Please dial 866-469-3239 for the audio portion of this broadcast. Meeting Number: 484 057 374

The United States Patent and Trademark Office

Presents EFS-Web 1.1 Advanced Training


Tony UrangaEFS-Web Outreach Team

United States Patent & Trademark Office

Today’s Presenters

Nick RouvasEFS-Web Outreach Team

United States Patent & Trademark Office


AgendaAgenda

• EFS-Web 1.1 Training– Recap of EFS-Web workflow– What’s new in EFS-Web 1.1– Live Demo

• Filing of an International Application to US-RO under the Patent Cooperation Treaty

– EFS-Web 1.1 Screenshots• New Petition - Unintentionally Delayed Payment of

a Maintenance Fee • Pre-Grant Publication Screens

– Form Requirements– Overview Information


UserAccesses USPTO

Portal

UserAccesses USPTO

Portal

Access EFS-WebAs Unregistered

Filer


Filer

Authenticate asRegistered

Filer

Authenticate asRegistered

Filer

Choose FilingType

Choose FilingType

•New Application•Design•Utility•Provisional•371•International Application

•Existing Application•Pre-Grant Publication•Petition

•My Workplace•Saved Submissions•Last 20 EFS receipts

Choose FilingType

Choose FilingType

•New Application•Design•Utility•Provisional•371•International Application

•Existing Application•Petition

EnterKey Patent

Application Data (New Only)

EnterKey Patent

Application Data (New Only)

Attach PDFFiles

Attach PDFFiles

Uploadand

Validate

Uploadand

Validate

CalculateFees

(Optional)

CalculateFees

(Optional)

Submit

PetitionPre-Grant Pub

Submit

PetitionPre-Grant Pub

Pay then Submit

Pay FeesVia RAMInterface

Pay FeesVia RAMInterface

Access Filing in Private PAIR

(Registered Filer Only)

Access Filing in Private PAIR

(Registered Filer Only)

ReceiveAcknowledgement

Receipt

ReceiveAcknowledgement

Receipt

ChoosePaymentOptions

ChoosePaymentOptions

How EFS-Web 1.1 WorksHow EFS-Web 1.1 Works


Overview Information What Can Be Filed?


• New Applications– New Utility; Provisional; Design with Color Drawings; 371

National Stage– International applications for filing in the U.S. Receiving Office

• Existing Applications– Follow-on papers– Pre-Grant publications under 37 CFR 1.211 – 1.221– Petition to Accept Unintentionally Delayed Payment of

Maintenance Fees in an Expired Patent (37 CFR 1.378(c))– Request for Continued Examination (RCE)




• Document Description List– Nearly 200 document descriptions – Amendments, Petitions,

ADS, IDS, PCT, NPL, Foreign References Cited, PG-Pubs, Board of Appeals documents, etc.

• Numerous Fees– Almost the complete Patent Fee Schedule


What Cannot be Filed Using EFS-Web 1.1?

What Cannot be Filed Using EFS-Web 1.1?

• Credit Card Authorization Form - PTO-2038• Assignments• Maintenance Fees• New Plant Applications or Color Plant Drawings • Documents related to Registration Practice &

Disciplinary Proceedings• Certified Copies (Ribbon Copies)• Reexamination and Reissue (this includes new and

follow-on papers)• Secrecy Order Applications and/or Documents • Contested Cases at the Board of Appeal and

Interferences• Third party papers under 37 CFR 1.99• Protests under 37 CFR 1.291• Public use hearing papers under 37 CFR 1.292


EFS-Web 1.1 – Acceptable file formats

EFS-Web 1.1 – Acceptable file formats

• PDF Files– For any document description except for ones that require .txt

files

• Zip Files– Only when using PCT-Safe (in PCT-Easy mode) for PCT filings

• Text Files– Bio-Sequence Listings– Computer Program Listings– Mega tables

USPTO’s new web-based patent application and document submission solution

New Screen:Registered Filer Follow-On

My Workplace

New Screen:Registered Filer Follow-On

My Workplace


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

Petition and Pre-Grant

Publication filings

My Workplace allows Viewing of Saved Submission Packages and Last

20 Receipts

When presented with New or Existing

application, choose Existing

Application/Patent


International PCT FilingsInternational PCT Filings


UserAccesses USPTO

Portal

UserAccesses USPTO

Portal


Filer


Filer

Authenticate as

RegisteredFiler

Authenticate as

RegisteredFiler

Choose PCT Filing

Type

Choose PCT Filing

Type

Attach PCT-SAFE .ZIP File

Form RO 101

Attach PCT-SAFE .ZIP File

Form RO 101

Attach .PDF FileAttach .PDF File

and/or

Review AttachedFiles

Review AttachedFiles

Calculate Fees(Optional)

Calculate Fees(Optional)

Submit and PayReceive PCT number

immediately

Submit and PayReceive PCT number

immediately

PCT Filing OverviewPCT Filing Overview


EFS-Web Live DemoPCT International Filing

EFS-Web Live DemoPCT International Filing


EFS-Web 1.1 New Screens – Pre-Grant Publication

EFS-Web 1.1 New Screens – Pre-Grant Publication


Pre-Grant PublicationRegistered e-Filer

Pre-Grant PublicationRegistered e-Filer

Enter Application Number/Confirmation

number and type of Pre-Grant filing

Select Existing application / patent

Select Pre-Grant Publication under 37 CFR

1.211 to 1.221


Pre-Grant PublicationAttach

Pre-Grant PublicationAttach

Disclaimer explaining what

needs to be attached to submit a PG Pub


Pre-Grant PublicationReview

Pre-Grant PublicationReview

Required Attachments


Pre-Grant PublicationCalculate Fees

Pre-Grant PublicationCalculate Fees

Fees automatically assigned depending upon Filing type selection on Login screen


Pre-Grant PublicationConfirm/Pay

Pre-Grant PublicationConfirm/Pay

MUST pay before submitting

Review of all items


Pre-Grant PublicationAcknowledgement Receipt

Pre-Grant PublicationAcknowledgement Receipt

Time and Date Stamp in

EASTERN time


New Fillable FormsNew Fillable Forms


All forms MUST be version 2.0 and

require Adobe Reader 7.0.8 for saving and attaching to EFS-Web

•How to check the version: Select Help-> About Adobe Reader

EFS-Web 1.1 Form Fillable PDF’sEFS-Web 1.1 Form Fillable PDF’s

• New Forms Require Adobe Reader 7.0.8 – Petition to Accept Unintentionally Delayed Payment of

Maintenance Fee in an Expired Patent (37CFR 1.378(c))– Request for Continuing Examination (RCE)– Accelerated Examination

• Existing Forms need to be downloaded AGAIN– Information Disclosure Statement (IDS – 37 CFR 1.97 & 1.98)– Application Data Sheet (ADS – 37 CFR 1.76)


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

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


Petition to Grant Unintentionally Delayed Payment of Maintenance Fees

under 37CFR 1.387(c)

Petition to Grant Unintentionally Delayed Payment of Maintenance Fees

under 37CFR 1.387(c)• Data to fill out form is

echoed back by EFS-Web

• Entity Status and Fee selection determines fee calculation page

• Must be filed in Petition process, not as regular follow-on

• Provides immediate grant of petition (subject to business rules, e.g. expiration is not beyond 24 months, previous fees have been paid, etc.)


New Fillable Form –Request for Continued

Examination (RCE)

New Fillable Form –Request for Continued

Examination (RCE)


Request for Continued Examination (RCE)

Request for Continued Examination (RCE)

• All USPTO Form Fillables Must Be Submitted Using Latest Version of Adobe Reader (Free)

• EFS-Web 1.1 Will Only Accept Version 2.0 of Form Fillables

• Data will be manually processed

• Filed as Existing application submission


New Fillable Form –Accelerated Examination

New Fillable Form –Accelerated Examination


Accelerated ExaminationAccelerated Examination

• Highly Suggested to use this Form when Submitting Under the Accelerated Examination Program

– OIPE is trained to look for this form

• Separate Accelerated Examination Flow in Next Release of EFS-Web

• Data will be manually processed

• Filed with new Utility or design application only


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

Petition under 37 CFR 1.378(c)


PetitionPetition

Application Number and

Patent Number REQUIRED

Select Petition under 37 CFR

1.378(c) REQUIRED

Select Existing application/patent


PetitionAttach

PetitionAttach

Legal language explaining Petition requirements. Only the Petition

itself can be attached

Document Description is automatically

selected


PetitionCalculate Fees

PetitionCalculate Fees

Fees based upon what is selected on the form and

actually due


PetitionPay/Confirm

PetitionPay/Confirm

MUST pay before submitting

Maintenance Fee History will show what has been

paid previously


PetitionPay/Confirm

PetitionPay/Confirm

Time and Date Stamp in

EASTERN time


PetitionAuto-Grant

PetitionAuto-Grant

Petition is automatically granted and is

now in IFW


Overview Information Indexing Resources

Overview Information Indexing Resources

• Complete, sortable list of Document Descriptions:– http://www.uspto.gov/ebc/portal/infodocuments.htm

• Help page “How to Index my Documents”:– http://www.uspto.gov/ebc/portal/beta/rules_doc_codes.htm

• Complete EFS-Web Assistance:– http://www.uspto.gov/ebc/efs_help.html


Important User InformationImportant User Information

• e-PAVE was retired on November 1st


EFS-Web 1.1.1EFS-Web 1.1.1

• Maintenance Release tentatively scheduled for January 27th – Fee code 8007 PCT Priority Document added– Prevent 90/95 series applications from being

submitted– Paying with American Express and entering incorrect

data twice will cause a lockout– Add language for Utility option on main screen (i.e.,

Utility other than 35 USC 371 filing)– Remove document description for Petition under 37

CFR 1.378(c) in Existing Application flow


Priority Document ExchangePriority Document Exchange


• Request can be made at time of filing or as a follow-on document• When requesting EPO priority documents for USPTO applications

– Use form PTO/SB38

– Select ‘Request by USPTO to retrieve priority documents’ in EFS-Web

• When requesting USPTO priority documents for EPO applications– Use form PTO/SB39

– Select ‘Authorization to Access application by trilateral office’ in

EFS-Web

• Request can be faxed to the Central Fax number (571-273-8300)• Request can be mailed to:

Commissioner of Patents

P.O. Box 1450

Alexandria VA 22313-1450

How to submit PDX Request


Proposed Complex Work Unit (CWU) Pilot Program

Proposed Complex Work Unit (CWU) Pilot Program


CWU Pilot Program

Applications that contain Complex Work Units (CWUs) such as chemical structures, mathematical formulae, large tables, and 3-D protein crystal structures often add significant complexity, cost, and time to examination and publication.

As part of the move towards additional eCommerce and e-filing initiatives, the USPTO plans to announce a pilot program for submitting CWUs in electronic format in the Spring of 2007.

Purpose:

Investigate filing practice options for CWUs

Goal:Implement filing practice changes for CWUs

• Expand acceptable formats• Assist examination• Streamline publication

Preliminary questions and comments can be sent to:

[email protected]


How To Contact EBCHow To Contact EBCHow To Contact EBCHow To Contact EBC

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

Electronic Business Center (EBC) Monday – Friday (6am – Midnight EST)

Phone: 1-866-217-9197 / 571-272-4100

* Select option 2

Fax: 571-273-0177

Email: [email protected]


Thank you for attendingThank you for attending

the united states patent and trademark office presents efs-web 1.1 advanced training

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