The United States Patent and Trademark Office Presents EFS-Web 1.1 Advanced Training

1. The United States Patent and Trademark Office Presents EFS-Web 1.1 Advanced Training United States Patent and Trademark Office

2. Today’s Presenters Tony Uranga EFS-Web Outreach Team United States Patent & Trademark Office Nick Rouvas EFS-Web Outreach Team United States Patent & Trademark Office United States Patent and Trademark Office

3. Agenda • 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 United States Patent and Trademark Office

4. Access EFS-Web As Unregistered Filer Authenticate as Registered Filer Enter Key Patent Application Data (New Only) Attach PDF Files Upload and Validate Calculate Fees (Optional) Submit Petition Pre-Grant Pub Choose Payment Options Pay Fees Via RAM Interface Receive Acknowledgement Receipt Access Filing in Private PAIR(Registered Filer Only) • New Application • Design • Utility • Provisional • 371 • International Application • Existing Application • Petition How EFS-Web 1.1 Works Choose Filing Type User Accesses USPTO Portal • New Application • Design • Utility • Provisional • 371 • International Application • Existing Application • Pre-Grant Publication • Petition • My Workplace • Saved Submissions • Last 20 EFS receipts Choose Filing Type Pay then Submit United States Patent and Trademark Office

5. 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) United States Patent and Trademark Office

6. Overview Information What Can Be Filed? • 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 United States Patent and Trademark Office

7. 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 United States Patent and Trademark Office

8. 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 United States Patent and Trademark Office

9. New Screen:Registered Filer Follow-On My Workplace USPTO’s new web-based patent application and document submission solution

10. Registered Filer Follow-on Papers and My Workplace When presented with New or Existing application, choose Existing Application/Patent Petition and Pre-Grant Publication filings My Workplace allows Viewing of Saved Submission Packages and Last 20 Receipts United States Patent and Trademark Office

11. International PCT Filings USPTO’s new web-based patent application and document submission solution

12. Access EFS-Web As Unregistered Filer Authenticate as Registered Filer PCT Filing Overview User Accesses USPTO Portal Choose PCT Filing Type Attach PCT-SAFE .ZIP File Form RO 101 Review Attached Files Calculate Fees (Optional) Submit and Pay Receive PCT number immediately and/or Attach .PDF File United States Patent and Trademark Office

13. EFS-Web Live DemoPCT International Filing USPTO’s new web-based patent application and document submission solution

14. EFS-Web 1.1 New Screens – Pre-Grant Publication USPTO’s new web-based patent application and document submission solution

15. Pre-Grant PublicationRegistered e-Filer Select Existing application / patent Select Pre-Grant Publication under 37 CFR 1.211 to 1.221 Enter Application Number/Confirmation number and type of Pre-Grant filing United States Patent and Trademark Office

16. Pre-Grant PublicationAttach Disclaimer explaining what needs to be attached to submit a PG Pub United States Patent and Trademark Office

17. Pre-Grant PublicationReview Required Attachments United States Patent and Trademark Office

18. Pre-Grant PublicationCalculate Fees Fees automatically assigned depending upon Filing type selection on Login screen United States Patent and Trademark Office

19. Pre-Grant PublicationConfirm/Pay Review of all items MUST pay before submitting United States Patent and Trademark Office

20. Pre-Grant PublicationAcknowledgement Receipt Time and Date Stamp in EASTERN time United States Patent and Trademark Office

21. New Fillable Forms USPTO’s new web-based patent application and document submission solution

22. EFS-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) • 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 United States Patent and Trademark Office

23. New Fillable Form – Petition under 37 CFR 1.378(c) USPTO’s new web-based patent application and document submission solution

24. 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.) Petition to Grant Unintentionally Delayed Payment of Maintenance Fees under 37CFR 1.387(c) United States Patent and Trademark Office

25. New Fillable Form –Request for Continued Examination (RCE) USPTO’s new web-based patent application and document submission solution

26. 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 Request for Continued Examination (RCE) United States Patent and Trademark Office

27. New Fillable Form –Accelerated Examination USPTO’s new web-based patent application and document submission solution

28. 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 Accelerated Examination United States Patent and Trademark Office

29. EFS-Web 1.1 New Screens – Petition under 37 CFR 1.378(c) USPTO’s new web-based patent application and document submission solution

30. Petition Select Existing application/patent Select Petition under 37 CFR 1.378(c) REQUIRED Application Number and Patent Number REQUIRED United States Patent and Trademark Office

31. PetitionAttach Document Description is automatically selected Legal language explaining Petition requirements. Only the Petition itself can be attached United States Patent and Trademark Office

32. PetitionCalculate Fees Fees based upon what is selected on the form and actually due United States Patent and Trademark Office

33. PetitionPay/Confirm Maintenance Fee History will show what has been paid previously MUST pay before submitting United States Patent and Trademark Office

34. PetitionPay/Confirm Time and Date Stamp in EASTERN time United States Patent and Trademark Office

35. PetitionAuto-Grant Petition is automatically granted and is now in IFW United States Patent and Trademark Office

36. 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 United States Patent and Trademark Office

37. Important User Information • e-PAVE was retired on November 1st United States Patent and Trademark Office

38. EFS-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 United States Patent and Trademark Office

39. Priority Document Exchange USPTO’s new web-based patent application and document submission solution

40. How to submit PDX Request • 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 United States Patent and Trademark Office

41. Proposed Complex Work Unit (CWU) Pilot Program USPTO’s new web-based patent application and document submission solution

42. 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: CWUPilotSupport@uspto.gov United States Patent and Trademark Office

43. How 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: EBC@uspto.gov United States Patent and Trademark Office

44. Thank you for attending USPTO’s new web-based patent application and document submission solution