1

The Future of Electronic Filing at the

United States Patent and Trademark Office

Presented by:William StryjewskieCommerce DivisionSIRA, USPTO

June, 2005

2

Why eFiling?

Problem• The continued growth in

USPTO workload cannot be effectively managed in the current paper-based environment. 

Solution• Implementation of an

eGovernment strategy that includes electronic

– receipt,

– processing,

– reporting, and

– Publication21st Century Strategic Plan

FY2006 Goal: 10% of Patent Applications filed via EFS

FY2006 Goal: 10% of Patent Applications filed via EFS

3

History of eFiling

• EFS Pilot Program established in 1999• ePave began receiving submissions in 1999• Began receiving PASAT submissions in 2000

• EFS Production Release occurred in October 2000• EFS gained two more submission types in 2001• Supported ability to file eIDS’s in May 2002• Annex F Compliant in January 2003• Pilot 11/02 ePhoenix (aka Image File Wrapper or IFW)• IFW in Production in July 2003• ePAVE interface updated May 2004• PASAT replaced with EFS-ABX August 2004

4

eFiling Today

• USPTO Supplied Software, EFS-ABX & ePAVE allow Applicants to eFile:– New Utility Patent Applications– Provisional Patent Applications– Pre-Grant Publications– Electronic Assignments– Information Disclosure Statements– CRF Bio-Sequence Listings

5

EFS-Web

• Why Web? Why Now?– USPTO Software and File Format unfamiliar and

difficult to work with– Low eFiling volume– e-Filing Forum Feedback

• Make it Simple• Make it Safe• Make it Happen

– Other Successful USPTO Web Initiatives– Align with USPTO Future Initiatives

6

EFS-Web: Timeline

• September 2004 – First e-Filing Forum• March 2005 – e-Filing Forum Returns to

Discuss Scope, Focus, & Direction • May 25, 2005 – e-Filing Forum to new

audience• July 21, 2005 – Docketing System Meeting

(tentative)

• Winter 2005 – Deploy Beta Version• Spring 2006 – Deploy Production Version

7

EFS-Web: e-Filer Experience

• EFS-Web Will Provide Choices and Options to the e-Filer to Match Their Business Processes and Environments

Multiple PDF Creation Tools

Multiple Browsers & Operating Systems

Multiple Authoring Tools

8

EFS-Web: e-Filer Authoring Experience

• Specifications, Drawings, and Forms May be Created With a Variety of Commercially Purchased Products, as Well as With Freeware / Shareware Available on the Internet

User defined format and

content for PDF File Creation

• Your Software, Your Format

9

EFS-Web: e-Filer PDF Creation Experience

• Preliminary USPTO Standard:– Licensed & Embedded

Fonts– PDF Version X.X and

Higher Compatible– No Password Encryption– No Virus or Embedded

Code – No Object Linking and

Embedding (OLE)• Sound, Movies,

Executables USPTO PDF Standard

Any PDF Authoring Tool That Can

Conform to USPTO Defined PDF Standard

10

EFS-Web: e-Filer Browser Experience

• E-Filer Connects to Internet Using Their Existing Browser– Simple– Safe & – Secure

EFS Web Sign on

• Compatible With Multiple Web Browsers and Operating Systems

– Internet Explorer,

– Mozilla Firefox, Safari

– Mac, Windows, UNINetscape,

11

EFS-Web: e-Filer Security Experience

• Low Level Security = Simple SSL Connection

• High Level Security = USPTO Issued PKI Certificate

EFS Web e-File

Low Level Security for Initial Filings

High Level Security for Initial Filings and

Follow-on Papers

12

EFS-Web: e-Filer Web Filing Experience

• EFS-Web Will Provide an Intuitive and User Friendly Interface to Facilitate the e-Filing Experience

• Simple Steps Lead to Successful e-Filing

Private PAIR

Sign OnSelect Filing Type

Enter Basic Bibliographic Data

Attach PDF Files/FormsPay Fees

e-FileObtain e-Filing

Acknowledgement Receipt

13

New Submission with Low Level Sign-In

14

Enter Application Information

15

Attach and Review Documents

16

Pay Fees Associate with New Filing

17

Confirm and Submit

18

Acknowledgement Receipt

(New Application Filing)

19

Follow-On Submission Using Digital Certificate

20

Review Application Information and Attach Documents

21

Pay Fees Associated with New Filing

22

Confirm and Submit

23

Save Submission

24

Acknowledgement Receipt

(Follow-On Submission)