united states patent and trademark office (recorded version available at: the uspto webcast will...

United States Patent and Trademark Office (Recorded Version Available at: http://webex.client.ninesystems.com/efsweb)

The USPTO Webcast WillBegin Shortly

Please Turn on Your Computer Speakers To hear the Audio Portion of this Webcast


William StryjewskiProject Manager, E-Commerce

United States Patent & Trademark Office


Some Housekeeping ItemsSome Housekeeping Items

• Today’s webcast is a two-part event– EFS-Web Overview– EFS-Web Training

• Questions can be submitted to presenters via the E-mail button at any time

• Registered attendees will receive a copy of this PowerPoint presentation

• Today’s seminar is being recorded and will be available for replay within 1 hour of the conclusion of the broadcast:– http://webex.client.ninesystems.com/efsweb

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

EFS-Web OverviewEFS-Web Overview


EFS-Overview AgendaEFS-Overview Agenda

• 1:00 – 1:30 p.m. – Background Information– Goals– Key features/functions/benefits– Integration with other USPTO applications– How to get started with EFS-Web– Live Product Demonstration


Important BackgroundInformation

Important BackgroundInformation

• USPTO is reengineering the patent prosecution process to better serve today’s IP needs

• Patent filing is a paper-intensive process, with over 2 million pages submitted weekly

• USPTO has developed a new web-based patent filing system after intense consultation and feedback from the IP law community


GoalsGoals

• Have at least 10% of all new patent applications filed electronically by September 30, 2006

• Continue a dialogue with the IP community regarding automation of the patent prosecution process


Introducing EFS-WebIntroducing EFS-Web



What EFS-Web DoesWhat EFS-Web Does

• Allows rapid online submission of PDF files of patent applications and documents

• Verifies and validates files before submission

• Allows online payment of patent application and document filing fees

• Provides an acknowledgement receipt that is the equivalent of post card receipt

• Provides virtually immediate access to patent application data in Private PAIR


EFS-Web – An Electronic Envelope

EFS-Web – An Electronic Envelope


UserAccesses USPTO

Portal

UserAccesses USPTO

Portal

Access EFS-WebAs Unregistered

Filer


Filer

Authenticate as Registered

Filer


Filer

•New Application•Design•Utility•Provisional•371

•Existing Application•Saved Package•Last 20 EFS receipts


Pay FeesVia RAMInterface


Access Filing in Private PAIR

(Registered Filer Only)



ReceiveAcknowledgement

Receipt


Receipt

ChoosePaymentOptions


EnterKey Bibliographic

Data (New Only)


Data (New Only)

Attach PDFFiles

Attach PDFFiles

Uploadand

Validate

Uploadand

Validate

CalculateFees

(Optional)

CalculateFees

(Optional)SubmitSubmit

Overview How EFS-Web Works



ImageFile Wrapper

(IFW)

Patent ApplicationLocating &Monitoring

(PALM)

Public Patent Application Information Retrieval

(Public PAIR)

Private Patent Application Information Retrieval

(Private PAIR)

USPTO’s Patent Application Architecture

USPTO’s Patent Application Architecture


Who Can Submit Patent Applications and Documents?

Who Can Submit Patent Applications and Documents?

• Unregistered Filers– Anyone who visits EFS-Web can submit patent applications and

documents– Patent attorneys, patent agents, paralegals, legal secretaries,

pro se filers– A customer number is NOT required for submissions

• Registered Filers– Those who obtain a Digital Certificate in advance from USPTO’s

Electronic Business Center (EBC)


What CAN Be Filed?What CAN Be Filed?

• New Applications– New Utility

– Provisional

– Design with Color Drawings

– 371 National Stage

• Follow-on submissions associated with an Application

• Numerous Document Types– Amendments, Petitions, Board

of Appeals Documents, Information Disclosure Statements, Non-Patent Literature, Foreign References, etc.

• Numerous Fees– Filing Fees

– Extensions of Time

– Petition Fees


What CANNOT Be Filed

What CANNOT Be Filed

• Text files (Fall 2006)– Bio Sequence Listings

– Computer Program Listings

– Text Tables

• New Plant Applications or Color Plant Drawings

• Documents related to Registration Practice & Disciplinary Proceedings

• Certified Copies• Reexamination and Reissue

• Secrecy Order Applications and/or Documents

• Contested Cases at 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• PCT International

Applications (Fall 2006)


EFS-Web BenefitsEFS-Web Benefits

• Requires no changes to your existing patent application authoring process

• Eliminates charges for Express Mail & couriers

• Eliminates possibility of losing applications enroute to USPTO

• Dramatically reduces paper and file storage costs

• Allows online collaboration among IP professionals who can file applications and papers anywhere, anytime

• Plays a vital role in strengthening the U.S. IP system



• Safe

– EFS-Web submissions protect your filing date just like a post card receipt

• Simple

– Even the largest and most complex patent applications can be submitted using PDF files and a few web screens

• Secure

– EFS-Web submissions are protected through Digital Certificates, the most secure method now available



• Fast

– Patent applications and documents can be submitted and a receipt obtained in minutes

• Flexible

– Requires NO changes to the processes & tools you use to author patent applications and documents

• Forgiving

– Checks documents before submission to ensure compatibility with USPTO standards


User downloadsand fills out

Certificate Action FormFrom www.USPTO.gov

websiteUser gets the Certificate Action Form notarized

Certificate Action Form mailed / overnighted

to USPTO’s ElectronicBusiness Center

Digital Certificate is typically issued 3-4 days

after the EBC receives the form

Getting Started:Obtain A Digital Certificate


www.uspto.gov/ebc/portal/infocustomernumber.htm

Shanna R. Sims

EBC, Karin please check notes for acuracy


Getting Started:Training

Getting Started:Training

• Online– Today at 1:30 p.m.(Recorded version available) – March 28 1 p.m. – 3 p.m.(limited to first 1,000 registrants)

• USPTO Headquarters – March 21 – March 23 – March 30– Seats are limited. Please

register early at


Getting Started: Create PDF FilesGetting Started: Create PDF Files

• Scan: Transfer paper to an electronic document by scanning your document

• Print: Using Adobe PDF print driver & USPTO JobOptions or another recommended PDF print driver

• Convert: Using Adobe Professional menu


Getting Started:Check Your System

Getting Started:Check Your System

• Operating Systems Supported– Windows 2000, XP– Macintosh OSX 10.4 – Linux RedHat 9.0

• Browsers:– Internet Explorer 5.5, 6.0– Netscape Navigator 7.x – Apple Safari 2.0 – Mozilla 1.7.3

Shanna R. Sims

Leah, Brian please review version numbers for acuracy


Getting Started:Check Browser Settings

Getting Started:Check Browser Settings

• Browsers must accept cookies

• Enable JAVA scripting

• Accept Entrust security applets

• Firewalls must not strip packet header content

• Browsers must support HTML frames


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

Saturday - Sunday (10am – 6pm EST)

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

* Select option 2

Fax: 571-273-0177

Email: [email protected]

Help is Available:Contact the EBC Help is Available:Contact the EBC


SafeguardsSafeguards

• Special Quality Assurance standards have been put in place

• 100% of EFS-Web filings will receive special handling to ensure successful filings

• Training, Online Resources and the EBC are readily available

• Specialized on-call EFS-Web support


DisclaimerDisclaimer

• Unprecedented audience – USPTO will receive 410,000 applications in 2006 which

translates to about 1,500 per business day– Today, over 6,000 people are viewing this training session

• EFS-Web is not a test system – 37 CFR 10.18(b)(2)(i) states that it is improper to submit papers

to the Office that would increase cost of prosecution – If an individual violates 37 CFR 10.18(b)(2)(i) then the party

could be sanctioned under 37 CFR 10.18(c)– Please use the training materials

http://www.uspto.gov/ebc/portal/tutorials.htm


Live Product DemonstrationLive Product Demonstration


QuestionsQuestions

?


EFS-Web TrainingEFS-Web Training

Kathy Hook

EFS-Web Training Manager


Training AgendaTraining Agenda

• Getting Started– Electronic Business Center– System Requirements– Creating PDF Files

• Overview and Filing Demonstration– Demo– Nuances

• Extras– PDF Fillable Forms– Digital Certificate Management

• Questions and Answers


Recap:What EFS-Web Does

Recap:What EFS-Web Does

• Allows rapid online submission of PDF files of patent applications and documents

• Verifies and validates files before submission

• Allows online payment of patent application and document filing fees

• Provides an acknowledgement receipt that is the equivalent of a post card receipt

• Provides virtually immediate access to patent application data in Private PAIR


Recap:Who Can Make Submissions

Recap:Who Can Make Submissions

• Unregistered Filers– Anyone who visits EFS-Web can submit patent applications and

documents– Patent attorneys, patent agents, paralegals, legal secretaries,

pro se filers– A customer number is NOT required for submissions

• Registered Filers– Those who obtain a Digital Certificate in advance from USPTO’s

Electronic Business Center (EBC)


Getting StartedGetting Started

• Electronic Business Center (EBC) – Customer Numbers

– PKI certificate

– Hours of operation

• EFS-Web System Requirements– Supported Operating Systems and Browsers

– SSL vs. TLS

– JAVA

• PDF Creation– Background

– Creation

– USPTO JobOptions

– Errors


Customer Number Business Rules Issuing New Customer Numbers Update Bulk Address Changes Customer Number Maintenance

PKI CertificatesCertificate Action Form Information Initial Review of Certificate Action Forms Troubleshoot End-User ProblemsAnswer Business Aspects of Customer Questions

Patent Application Information Retrieval Registration Information Troubleshoot End-User Problems Troubleshoot Software Problems Handle Questions Related to Data

Electronic Filing System Provide Customer Number Provide PKI Certificate Support Provide issue resolution for Electronic Filing users

Getting Started:EBC Responsibilities

Getting Started:EBC Responsibilities


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

Saturday - Sunday (10am – 6pm EST)

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

* Select option 2

Fax: 571-273-0177

Email: [email protected]

Getting Started:How To Contact EBC

Getting Started:How To Contact EBC


Getting Started:Customer NumberGetting Started:

Customer Number

Assigned to multiple patent applications

Customer Number

Single

MultipleAddress


Getting Started:What Customer Numbers Do

Getting Started:What Customer Numbers Do

• Customer Number can be used for indicating:– Correspondence Address

– Power of Attorney

– Maintenance Fee

• Anyone can have a Customer Number

• Customer Number represents an address and an attorney(s)/agent(s)

• An individual may have multiple customer numbers to manage relationship to various clients (law firms and corporations)

• Allows individual to change address for multiple applications with one form


User downloadsand fills out

Certificate Action FormFrom www.USPTO.gov

websiteUser gets the Certificate Action Form notarized

Certificate Action Form mailed / overnighted

to USPTO’s ElectronicBusiness Center

Digital Certificate is typically issued 3-4 days

after the EBC receives the form



www.uspto.gov/ebc/portal/infocustomernumber.htm

Shanna R. Sims

EBC, Karin please check notes for acuracy


Getting Started:System Requirements

Getting Started:System Requirements

• Operating Systems Supported– Windows 2000, XP– Macintosh OSX 10.4 – Linux RedHat 9.0

• Browsers:– Internet Explorer 5.5, 6.0– Netscape Navigator 7.x – Apple Safari 2.0 – Mozilla 1.7.3

Shanna R. Sims

Leah, Brian please review version numbers for acuracy


Getting Started:Browser SettingsGetting Started:

Browser Settings

• Browsers must accept cookies

• Enable JAVA scripting

• Accept Entrust security applets

• Firewalls must not strip packet header content

• Browsers must support HTML frames


Getting Started:Security SettingsGetting Started:

Security Settings

• Networks and Firewall Infrastructures MUST allow communication via HTTPS/SSLv3 or TLSv1

– SSL - Secure Sockets Layer

– TLS – Transport Layer Security• TLS is an upgrade of SSL security protocol

NOTE: The USPTO Secured External Portal is configured to accept both SSLv3 and TLSv1 based connections, however, the Federal Government strongly recommends

the use of TLSv1 protocol.


Getting Started:JAVA

Getting Started:JAVA

• Workstations MUST run a supported version of Java Runtime Environment (JRE) Software – Microsoft Java Virtual Machine (MSJVM)

– The MSJVM is not included with Windows XP SP1a, Windows XP SP2, Windows Server™ 2003, or any future Microsoft software

• Windows - Sun JRE 1.5.0_06 (SSL and TLS)

– http://java.sun.com/j2se/1.5.0/download.jsp

– Macintosh – Apple JRE 1.5.0_05– http://www.apple.com/downloads/macosx/apple/javaupdate142.html

– Linux – JRE 1.5.0_05– http://java.sun.com/j2se/1.5.0/download.jsp


Getting Started:PDF TechnologyGetting Started:PDF Technology

• Universal file format that preserves the fonts, images, graphics, and layout of any source document, regardless of the application and platform used to create it

• PDF (Portable Document Format) files send formatted documents in the exact fashion it is intended

• PDF is an open standard supported by many vendors

• EFS-Web requires you to have a PDF Writer

PDF


• PDF Writers that have been preliminarily tested by USPTO:

– Adobe Professional– Open Office– Easy Office– Cute PDF– PDF 995– Primo PDF– Amyuni PDF Converter Pro

Getting Started:PDF Writers

Getting Started:PDF Writers

PDF


Getting Started:About PDF FilesGetting Started:About PDF Files

• Document Format– Standard 8 1/2” x 11”– A4 (21 cm. by 29.7 cm)– Larger pages will be reduced to 8 1/2 x 11

• Versions 1.1 – 1.6 of the PDF Specification• Fonts

– Must be embedded to ensure they travel with the document– All fonts must be licensed and legally embeddable

PDF

If the fonts are embedded, they become part of the PDF document. Whenever the PDF document is viewed or printed, the embedded fonts are used. By using embedded fonts, the author ensures that the document will display and print exactly as it was intended.



• Images

• At this time, color will not be considered, unless you are filing a Design application

• Recommended 300 dpi

• Save images in lossless format

• GIF, BMP, TIFF, PNG formats permitted

PDF



• Object Content

– No 3D models, attachments, multi-page objects, commenting/reviewing features, no dependencies on external files or resources

PDF


Getting Started:PDF File LayersGetting Started:PDF File Layers

Single layer documents only can be submitted

Documents with multiple layers must be flattened prior to

submission

Invisible layerswill be lost

when processedby USPTO



• Security Features– No password protected or encrypted PDF

files are permitted– EFS-Web PKI infrastructure will handle

encryption

• Embedded Code/Viruses– PDF document must be free of executables,

worms, viruses or other malicious content– Files with malicious content will be deleted


Getting Started: Create PDF FilesGetting Started: Create PDF Files

• Scan: Transfer paper to an electronic document by scanning your document

• Print: Using Adobe PDF print driver & USPTO JobOptions or another recommended PDF print driver

• Convert: Using Adobe Professional menu



PDF Creation Demonstration


Getting Started:PDF File Naming Conventions

Getting Started:PDF File Naming Conventions

Filename.pdf

• Start with [A-Z, a-z , 0-9 ] excluding brackets and commas

• Last 4 characters need to be .pdf

• Can consist of:[A-Z, a-z, 0-9, _, -, .] excluding brackets and commas

• No spaces in actual PDF file name

• Spaces permitted in file path

• Can be up to 256 characters long including .pdf


Getting Started:Adobe JobOptions


• Sets your Adobe Print Driver to use acceptable USPTO PDF settings

• Configuration settings:

– Compresses – Sets minimum resolution – Embeds fonts




• Download and save JobOptions file to the Adobe PDF Settings folder

• Usually located at: C:\Documents and Settings\All Users\Documents\Adobe PDF\Settings




• When printing to PDF, select Adobe PDF from the printer menu

• Click on the Properties tab




• Choose the Adobe PDF Settings tab. • Select USPTO from the Default Settings drop down

and click OK


Getting Started:Warning Messages

Getting Started:Warning Messages

• Page size is not 8 ½ by 11 inches or A4• Non-licensed fonts• An ADS or IDS is attached that is not

an USPTO fillable form• An USPTO ADS or IDS Fillable form

that is missing data from key fields• Two or more files with the same name


Getting Started:Error MessagesGetting Started:Error Messages

• Secure file (password encrypted)• Non-embedded fonts• Any version of PDF that is not

supported (below 1.1)• PDF containing OLE (object linking and

embedding) files• Malicious and virus embedded files• Not a PDF file type• File size over 25MB (except USPTO

fillable forms)


Getting Started:Summary of PDF Benefits

Getting Started:Summary of PDF Benefits

• PDF is a standard file format

• Protects the fonts, images and text formatting in the document

• Readers and Writers are easily accessible and are available as freeware, shareware and for purchase

• Using USPTO PDF forms as part of the EFS-Web system expedites the patent submission process



Live Demonstration &

Product Nuances


UserAccesses USPTO

Portal

UserAccesses USPTO

Portal


Filer


Filer


Filer


Filer


•Existing Application•Saved Package•Last 20 EFS receipts









Receipt


Receipt




Data (New Only)


Data (New Only)

Attach PDFFiles

Attach PDFFiles

Uploadand

Validate

Uploadand

Validate

CalculateFees

(Optional)

CalculateFees

(Optional)SubmitSubmit




Overview & Filing Demonstration:How EFS-Web Works

Overview & Filing Demonstration:How EFS-Web Works

• Unregistered eFiler – New filing

• Registered eFiler– Follow-on filing– Fillable Form – Multi-doc Amendment– With Fee Sheet


On-line Product Training


• The ‘Continue’ buttons must be used to proceed forward and to save your information

• The Section Tabs (not the Browser buttons) are used to go back and review or make changes

• The Tab key can be used to move from field to field

NOTE: The tabs allow users to move forward and backwards to screens you have already visited. If you use the tabs to go back and make changes, you must click Continue to save those changes – if you simply use the Tab to go forward, the changes will be lost.

Nuances:NavigationNuances:

Navigation


Nuances:NavigationNuances:

Navigation

• Asterisks (*) represent required fields

• Cancel vs. Logout (Cancel does not logout registered eFilers)

• Help and buttons

• Portal can be maximized to expand and remove the Navigation Links


Nuances:Validation Messages

Nuances:Validation Messages

• Page level validation messages will be displayed at the top of the page and also below the corresponding field

• Warning Messages vs. Error Messages– PDF files containing errors must be removed– PDF files containing warnings allow you to continue


Nuances:Multi-Doc PDF’s

Nuances:Multi-Doc PDF’s

• A multi-doc PDF is a single file that contains more than one document description– Each document section must begin on a new page– Page ranges must be entered for each section


Nuances:PDF Fillable Forms

Nuances:PDF Fillable Forms

• PDF Fillable Features• Fillable Forms enabled for EFS-Web• EFS-Web and other forms• Client & Server Validation• Technical Requirements • Form Demonstration

– Information Disclosure Statement (IDS)– Application Data Sheet (ADS)

• Form Nuances• Digital Certificate Management


Save form electronically with data embedded

Print forms with data entered by the user

PDFFillable Form

Import data in XML formatfrom multiple sources

Export data in XML format to document management systems and other databases

Re-open the saved form to modify existing data

Dynamic capabilityto add data

Enhanced tointerface with USPTO

backend systems

No specialsoftware required

Nuances:PDF Form Fillables

Nuances:PDF Form Fillables


EFS-Web: Available Fillable Forms

EFS-Web: Available Fillable Forms

Application Data

Sheet

Information Disclosure Statement

• Provisional/Non-provisional applications

• Contains bibliographic data

• Listing all U.S. patents and U.S. publications

• Foreign patent documents and non-patent literature (NPL)

• Submitted for consideration in a non-provisional patent application

IDS – 37 CFR 1.97 & 1.98)

(ADS – 37 CFR 1.76)


Possible New FormsPossible New Forms

• Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37CFR 1.378(c))

• Petition for revival of an application for Patent Abandoned Unintentionally Under (37CFR 1.137(b))

• Request for Continuing Examination (RCE)


Other FormsOther Forms

• Legacy PDF forms– PDF forms are on the USPTO web site, but these do not save

data describe– Field information will not be automatically loaded onto USPTO

systems – Legacy forms located at:– http://www.uspto.gov/web/forms/index.html

• User-created fillable form PDF files • User-modified USPTO fillable form PDF files

– User data will be accepted – Data in individual fields will not auto-load into USPTO systems


Technical RequirementsTechnical Requirements

• Adobe Reader 7.0 is Required– Update to version 7.0.7 for optimal

performance

• How to check the version Adobe Reader– Select Help– About Adobe Reader


TrainingTraining

• Online– Today at 1:30 p.m.(Recorded version available) – March 28 1 p.m. – 3 p.m.(limited to first 1,000 registrants)https://websurveyor.net/wsb.dll/39376/EFSWebTrainingForm.htm

• USPTO Headquarters – March 21 – March 23 – March 30– Seats are limited. Please register early at:

http://www.websurveyor.com/login/uspto/registration.html


QuestionsQuestions

?