Patents e-Filing Update

Biotechnology/Chemical/Pharmaceutical Customer Partnership

November 15, 2001

2

Today’s TopicsToday’s Topics

Patent Electronic Business CenterPatent Electronic Business Center Current Status and What’s NewCurrent Status and What’s New

Application Data SheetsApplication Data Sheets

CD-ROM SubmissionsCD-ROM Submissions

Future Electronic ServicesFuture Electronic Services

3

Patent Electronic Patent Electronic Business Center (EBC)Business Center (EBC)

Provides access to electronic business Provides access to electronic business applications for patent customersapplications for patent customers Customer NumberCustomer Number

Required for PAIR and EFSRequired for PAIR and EFS Public Key Infrastructure (PKI) Public Key Infrastructure (PKI)

Security software to support electronic commerceSecurity software to support electronic commerce Required for PAIR and EFS Required for PAIR and EFS

4

Patent Electronic Patent Electronic Business Center (EBC)Business Center (EBC)

Patent Application Information Retrieval Patent Application Information Retrieval (PAIR)(PAIR) Access to application status and history via the Access to application status and history via the

InternetInternet

Patent Electronic Filing System (EFS)Patent Electronic Filing System (EFS) Filing of patent applications via the Internet Filing of patent applications via the Internet

5

Patent Electronic Business Patent Electronic Business Center (EBC)Center (EBC)

How do I How do I get there?get there?

Click on:Click on:Online Online

BusinessBusiness

Go to:Go to:www.uspto.govwww.uspto.gov

6

Patent Electronic Business Patent Electronic Business Center (EBC)Center (EBC)

Click on:Click on:Patent ElectronicPatent Electronic Business CenterBusiness Center

7

Patent Electronic Business Patent Electronic Business Center (EBC)Center (EBC)

Click on:New Users

to register

8

Patent Electronic Business Patent Electronic Business Center (EBC)Center (EBC)

Electronic Business Center (EBC)Electronic Business Center (EBC)

Customer Service CenterCustomer Service Center Available 24 hours a day, 7 days a weekAvailable 24 hours a day, 7 days a week

Telephone: (703) 305-3028Telephone: (703) 305-3028 e-Mail: EBC@uspto.gov or EFS@uspto.gove-Mail: EBC@uspto.gov or EFS@uspto.gov Fax: (703) 308-2840Fax: (703) 308-2840

9

United States Patent and United States Patent and Trademark Office Trademark Office

Patent Application Information Patent Application Information RetrievalRetrieval

10

Patent Application Patent Application Information Retrieval (PAIR)Information Retrieval (PAIR)

Increased customer access to Patent and Increased customer access to Patent and Patent Application informationPatent Application information Provides direct on-line access to application Provides direct on-line access to application

status and prosecution historystatus and prosecution history Available 24 hours a day, 7 days a weekAvailable 24 hours a day, 7 days a week Saves customer and USPTO resources to Saves customer and USPTO resources to

process requests for status informationprocess requests for status information

11

PublicPublic Requires NO PKI software Review Patented &

Published Application Information Prosecution History Status and Location

PrivatePrivate Requires PKI software Requires Customer Number Review Pending & Patented

Application Information Prosecution History Status and Location Limited Bibliographic Data

USPTO Employee Directory

Patent Application Patent Application Information Retrieval (PAIR)Information Retrieval (PAIR)

12

Private PAIRRequires Customer Number and PKI Certificate

Patent Application Patent Application Information Retrieval (PAIR)Information Retrieval (PAIR)

13

Application Number

Search

Patent Application Patent Application Information Retrieval (PAIR)Information Retrieval (PAIR)

14

PAIR InterfacePAIR Interface

NEW

Continuity Data

Parent and Child

15

PAIR InterfacePAIR Interface

Customer Number Search

16

NEW

Bibliographic Data

Review ScreenPrivate PAIR

Patent Application Patent Application Information Retrieval (PAIR)Information Retrieval (PAIR)

17

Patent Application Patent Application Information Retrieval (PAIR)Information Retrieval (PAIR)

Bibliographic Data

Review Screen

Request Changes

18

Change RequestInstructions

Changes That May NOT Be Requested

Patent Application Patent Application Information Retrieval (PAIR)Information Retrieval (PAIR)

19

Domestic Publication of Patent Domestic Publication of Patent Applications Published Abroad Applications Published Abroad

Bibliographic Data

Review Screen

Change Request Receipt

20

Patent Application Patent Application Information Retrieval (PAIR)Information Retrieval (PAIR)

PAIR Review of PTA

Calculation

Note: The application must have been filed on or after 5/29/00, or have had a CPA entered therein on or after 5/29/00

21

PublicPAIR

Patent Application Patent Application Information Retrieval (PAIR)Information Retrieval (PAIR)

22

MaintenanceFees

Public/Private PAIR

Patent Application Patent Application Information Retrieval (PAIR)Information Retrieval (PAIR)

23

PAIR InterfacePAIR Interface

24

PAIR BenefitsPAIR Benefits

Provide better customer Provide better customer serviceservice

Permits PTO staff to Permits PTO staff to focus on application focus on application processingprocessing

PTO Direct electronic information Direct electronic information

retrievalretrieval Real-time tracking of Real-time tracking of

application statusapplication status

Customer

25

United States Patent and United States Patent and Trademark OfficeTrademark Office

Patent Electronic Filing SystemPatent Electronic Filing System

26

Electronic Filing System Electronic Filing System (EFS)(EFS)

EFS facilitates EFS facilitates electronicelectronic authoring and authoring and securesecure submission of patent application submission of patent application documents to the USPTO documents to the USPTO via the Internetvia the Internet..

27

EFS Customer BenefitsEFS Customer Benefits

File patent application submissions securely, 24/7over the Internet

First step to Electronic File Wrapper (EFW) and efficient electronic processing

Immediate electronic Acknowledgement Receipt no delay while waiting for Postcard use Application Number for same day paper

filings Expanded client service Automatic paragraph and claim numbering

facilitates future amendments

28

EFS Filing TypesEFS Filing Types

EFS 2000:1. New Utility Applications2. Pre-Grant Publication Requests3. CRF Biosequence Listings for pending applications

EFS 2001 adds:4. Provisional Applications5. Multiple Assignments

• with a New Utility or as a separate submission

29

EFS SoftwareEFS Software

Word processing tool Patent Application Specification Authoring Tool

(PASAT) Type directly or copy text from source document

Submission tool Electronic Packaging and Validation Engine

(ePAVE) Automatically bundle, compress, encrypt, wrap,

and securely transmit to the USPTO via the Internet

30

EFS Filing StatisticsEFS Filing Statistics

Current: Filings 11/01/00 - 10/31/01: Current: Filings 11/01/00 - 10/31/01: 2045 Total Filings2045 Total Filings 1884 New Utility1884 New Utility 153 Pre-Grant153 Pre-Grant 8 Biosequence8 Biosequence

Goal: 80% of all patent filings by 2006Goal: 80% of all patent filings by 2006

31

Application Data SheetsApplication Data Sheets

New option: use ePAVE to create for New option: use ePAVE to create for electronic electronic oror paper filings paper filings

Check web for guidelines: Check web for guidelines: www.uspto.gov/web/offices/pac/dapp/sir/doc/patappde.htmlwww.uspto.gov/web/offices/pac/dapp/sir/doc/patappde.html

32

CD-ROM SubmissionsCD-ROM Submissions

Computer Program Listings CD required for over 300 lines CD optional for less than 300 lines

Sequence Listings CD is optional Optional CRF submission via ePAVE

Tables CD optional if over 50 pages Paper required for less than 50 pages

See 37 CFR 1.52, 1.58, 1.96(c), and 1.821(c)

33

CD-ROM SubmissionsCD-ROM Submissions

EFS CD required for over 10MB

Use Group 4 compression on TIFF images to minimize 2 copies plus Transmittal required Must be CD-ROM or CD-R

See 37 CFR 1.52(e) for details

34

Future Electronic ServicesFuture Electronic Services

December 2001 Ability to file Provisionals Ability to file Multiple Assignments Improved network compatibility Ability to attach Appendix Data (e.g. computer program listings, large tables)

as described in the Specification

Early 2002 50+ customer requested enhancements to PASAT

35

Future Electronic ServicesFuture Electronic Services

Early 2002 WIPO pilot of PCT e-filing

Spring 2002 USPTO pilot for implementation of international

application and e-filing protocol

Fall 2002 Full implementation of international e-filing

standards Author once, submit national and international

PALM integration Electronic transactions for increased efficiency

36

Future Electronic ServicesFuture Electronic Services

EFS December 2001 Software and Documentation From web: www.uspto.gov

click on Online Businessclick on Patent Electronic Business Centerclick on Electronic Filing System

Request mailing of CD:EBC Customer Support Center at EFS@uspto.gov

EFS Training Classes Contact: sylvia.phan@uspto.gov

(703) 308-5825