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IP-Docs Training Package P101a
| P101a Electronic Filing System (EFS) Technical Specifications EFS incorporates a common “submission engine” that presents an electronic form to the applicant for the collection of Patent application information and allows the applicant to attach a tagged, structured specification document including links to applicable figure image files. Other documents included in an application, such as the Declaration, are attached as scanned single-page TIFF image files or ASCII text files. The EFS electronic Packaging and Validation Engine (ePAVE) desktop software enables Patent applicants and appointed practitioners to conduct real time electronic filing of select New Utility Patent applications. Using USPTO developed ePAVE submission software applicants: author XML documents such as fee transmittal or application data sheet attach electronic documents and image files in specified formats and validate the completeness of the submission based on Patent business rules. The ePAVE program automatically bundles, compresses, encrypts and digitally signs the submission package once the applicant or appointed practitioner enters an electronic signature and digital certificate authentication information. After the submission package is received and validated at the USPTO without error, an Acknowledgement Receipt is displayed in real time at the filer's desktop. Submission Specifications and Technical Limitations : One objective of the EFS is to allow Patent applicants to file electronically the same substantive content currently filed in paper form. The current generation of EFS software allows filing of most new Utility Applications and all Pre-Grant Publication Applications. In addition to the specific hardware/software limitations There are two types of technical limitations that users should understand: 1) The EFS takes applications that are less than 10 Megabytes before compression (for pre-grant publication, you may create and mail a CD with larger submissions) 2) EFS accepts only specific types of file formats: TIFF (Tagged Image File Format), ASCII text file Biosequence Listings, and XML documents. What EFS Supports• EFS supports electronic filing of new Utility Patent application parts: specification, figures, declaration, application transmittal, fee transmittal, small entity statement, if applicable, Patent application data sheet, computer readable form (CRF) sequence listing, and assignment recordation (only accepted with new Utility filing). • EFS supports electronic filing of publication-ready Patent application information as subsequent filings for Pre-Grant publication: utility or plant specification, figures, patent application information for publication on the front page of the publication, submission transmittal and fee transmittal. • EFS supports electronic filing of Sequence Listing(s) in computer readable form (CRF) for pending paper applications. The CRF sequence listing is to be submitted according to patent business rules in ASCII (text) file format.
Application Size LimitsIn November of 2000, the EFS will electronically accept new applications and Pre-Grant Publication Submissions that are less than 10 Megabytes (prior to compression by ePAVE). While EFS will allow you to produce a compact disc from an oversize Pre-Grant Publication Submission it will not currently allow submission of oversize new applications. One page of text is about 3k one image is generally less than 50k in group 4 compression format and is about 960k when in "uncompressed" format. GETTING STARTEDBasic Steps to Patent Application Electronic FilingThe following is a general overview of the EFS process describing the course of actions needed in order to successfully complete the electronic filing of Patent applications.
1. Obtain a customer number and a digital certificate from the USPTO. 2. Install or upgrade to a word processing application that permits XML authoring (MS-Word 97 or Word 2000, WordPerfect 9.0). 3. Acquire software to create image files in the TIFF standard format. 4. Obtain EFS software from the USPTO.
1. Create image files (e.g. drawings, declaration) 2. Tag the specification text using an XML word processing application (e.g. PASAT). 3. Attach drawings to the specification XML document while authoring XML document. 4. View the authored XML tagged specification document using a web browser (e.g. Internet Explorer 5.5 with TIFF viewer plug-in) and the USPTO standard style sheet format that is provided as part of the EFS authoring software -(Patent Application Specification Authoring Tool - PASAT). 5. Author tagged Patent application transmittal, fee, and application bibliographic information using the EFS submission software (electronic Packaging and Validation Engine - ePAVE). 6. Create a submission package by attaching the tagged specification XML document, the TIFF images containing scanned pages of the oath or declaration using ePAVE. ePAVE will automatically attach the transmittal, fee, and application data forms authored using ePAVE. 7. Digitally sign the submission package using ePAVE and your digital certificate. SCENARIOS:This section provides an explanation of the EFS terminology, the Patent application publication and EFS Submissions process, and several informative scenarios that can familiarize you with EFS. Note Regarding Terminology:A new application is one that is being originally filed electronically. These applications are still subject to the pre-grant publication rules, and they will also contain some information, which dictates how they will be published (i.e. early, 18 month, or not at all). These applications will be assigned a filing date, assigned a serial number, entered into the normal flow of examination and will be published according to the same rules as a new paper filing. A Pre-Grant submission is a submission of a copy (possibly amended or redacted) of a specification already filed at the USPTO, together with some information which dictates how it will be published. These submissions will be published but not entered into the examination process they should already have a filing date, serial number, and confirmation number. (The specification already filed in these cases is already in the examination process.) The amendments or modifications that appear in these submissions are not automatically made in the corresponding application file at the USPTO these amendments must be made according to conventional procedure. Patent Application Publication Process and EFS Submissions:As required by the 1999 amendments to 35 USC 122(b), the USPTO will begin publishing applications, filed on or after 11/29/2000, at 18 months after their earliest claimed priority date under 35 U.S.C. As each paper application is filed, it will be electronically captured (i.e. scanned) and assigned a projected publication date. If the applicant requests early publication and pays the publication fee, the publication date will be immediate. If the applicant requests non-publication and makes the appropriate certification no publication date will be assigned. Four different types of EFS submissions will be added to this queue of applications: 1) New Utility Applications filed after November 29, 2000 will be added in a manner similar to new paper applications 2) "Original" redacted and amended submissions (those made before the parent application enters the 14-week print cycle) will be used to replace the data captured at the time of filing their publication dates will not be changed unless applicant newly requests early publication 3) "Republication" amended and corrected publications will be assigned an immediate publication date and 4) “Voluntary” publications of applications pending on November 29, 2000, immediately upon receipt of the request, which would otherwise not be published until they were patented. Once per week, the application management software will create a list of cases to be published fourteen weeks later, which will include some "18-month minus 14-week" dates and some immediate publication requests. In certain circumstances, cases may be removed from this list they are not added or modified after this point. For example, applications may be abandoned to avoid publication after this fourteen-week date, and redacted cases may be submitted up to sixteen months from filing. This time frame is similar to the printing time frame currently used for issued Patents. This schedule will become important to applicants when they are submitting amended publications. If the amended submission is made before the "18-month minus 14-week" date, the newly submitted data will replace the initially filed data at no cost (provided no request for early publication was filed). If the submission is made after this date the initial data will already be in the print queue and the new submission will be added to the next available fourteen-week cycle as a republication this will cost $130 for processing and $300 for publication. In order to publish an application or a Patent, the USPTO delivers the data to a printing contractor. Here is an approximate timeline:
** Please do not wait this long. This is the last moment for the USPTO to act on this request, not the last point the request can be mailed and have any assurance of being acted upon. Scenario 1: Filing a New Utility Application Using EFS Rule basis: 35 USC Sections 111,112,113 35 USC Section 122 applicable 37 CFR sections and including section 1.76 Application Data Sheet (Refer to Legal Framework for Electronic Filing posted at the EFS web site address for more rule-based information) When: As for paper filings under 35 USC 111 Fees: As for paper filings, fees must be paid by bank card (credit card) or deposit account. Fee for early publication is $300. Comment: Voluntary use. Only accepting regular domestic utility applications no provisional, no design, no plant, no secrecy order (national security) applications, and no international (PCT) applications. The EFS does not accept color drawings/images. In this user manual please refer to Technical Limitations section to learn about other EFS limitations. Very large files (e.g. biotechnology utility applications) are also inappropriate for EFS. For very large Patent application files please use conventional compact discs and paper media for submission as described in 37 CFR Section 1.52. The official copies of all documents submitted using the EFS are the paper versions printed from the electronic files received at the USPTO. Preparation for AuthoringPrior to using the EFS software, you should assemble your Patent application information. You will need an electronic TIFF image of each drawing figure, including images such as chemical formulae or mathematical equations that will be embedded in the text of your specification. You will also need a scanned image of your declaration with the signatures of the inventor(s). You may choose to attach a scanned image of a small entity statement even though you are no longer required to do so. For information about preparing the required image file(s) refer to the EFS Authoring and Submission user manuals or Frequently Asked Questions document. Patent Application related information such as fee information, small entity status, type of publication, non-publication request and information equivalent to that on a typical transmittal letter will be authored using the EFS submission form screens. You will not need to create image files equivalent to these types of Patent application papers because these forms are created using the ePAVE software. GENERAL QUESTIONS: May I electronically file a Patent application specification along with Patent application information for publication based on an originally filed application that has been amended during prosecution? Yes, applications that have been amended during prosecution can be substituted for the originally filed application if they are submitted in compliance with the electronic filing system technical specifications and timely filed. Refer to the Manual of Patent Examining Procedures 37 CFR 1.215 ( c ). Note: EFS submission of the patent application information to be published is a separate filing from the paper filing of the amendment in the course of prosecution. May I electronically file a request for non-publication of my previously filed Patent application? No, the Manual of Patent Examining Procedures (37 CFR 1.213) states that requests for non-publication must be made at the time the Patent application is filed at the USPTO. You may abandon your application by filing a paper to avoid publication. Note: Any express abandonment must be received at least four weeks prior to the projected publication date. What electronic file size limit is there when using EFS?EFS Submissions must be smaller than 10 megabytes, approximately 2,000 typewritten pages. Can I file my application both in paper and electronically on the same day so that I am sure that I will get my filing date? No. You must file either a paper Patent application OR use EFS to file a New Utility Patent application electronically. Duplicate filings will result in duplicate applications with different serial numbers. May I electronically file a New Utility Patent application over 10 MB on CD-ROM, CD-R? No. You cannot submit the New Utility Patent application documents authored as an EFS submission on CD-ROM or CD-R to the USPTO. FILE FORMATS: Is there an EFS file naming standard to be followed? Yes, it is recommended that the xml, text, and image file names you submit to the USPTO via EFS begin with a letter and do not include any symbols. Why is it unacceptable to electronically file an application saved in Portable Document Format (PDF)? The benefits of electronic filing of Patent application submissions can be achieved only if the process is standardized so that file formats submitted to USPTO can be readily received, used by USPTO information systems and maintained for the full retention life of the Patent application. PDF is a proprietary file format maintained by a single vendor that makes its use over an extended period of time problematic. The ability to transfer PDF electronic Patent application documents to a new technology environment is constrained and requires extra outlays of resources. Identifying an international standards for marking up (tagging data) such as XML (eXtensible Mark-up Language) as the required output to be provided to USPTO supports a single file format that can create, store, and accurately render the content and structure of all electronic records contained in a Patent application. XML output from desktop office productivity applications in XML format can be integrated at no or low cost as a viewing/navigation/reproduction capability into Internet browsers and desktop productivity applications. XML is currently a preferred file format for conducting electronic commerce. How do I include my drawings in an electronically filed application?Drawings are included in electronically filed applications as tagged image file format (TIFF) images when you author the specification document. Drawings on paper can be scanned and saved as TIFF image files, or drawings can be created using electronic drafting tools and saved individually in the TIFF file format. Each figure should be saved as its own tiff image. Refer to the EFS Authoring and Submission user manuals for more details. My invention can only be illustrated using micrographs. Can I submit my application via EFS? Yes, upon conversion of the micrographs to black and white TIFF image files. In addition, you must submit three copies of the photographs and the appropriate petition and fees, via mail, according to the current standard US practice. Why do we have to use TIFFs?Patent applications must be archivable. For this reason, only non-proprietary and stable formats may be used for electronic Patent files. TIFF is both non-proprietary and retains integrity when compressed (for transmission and storage) or archived. This format is also viewable in a wide variety of software packages. Why can't we use JPEG file format?JPEG files may cause a loss of data when compressed and/or archived. Some compression algorithms simplify images to compress them, which results in an image that has lost some data. What are the requirements for converting/scanning to TIFF?TIFF images must be: black and white 300 dpi non-compressed OR Group 4 compression. We also recommend cropping each graphic image to reduce the surrounding white space. What about color images or different image file types (JPEG, GIF, etc.)?Currently EFS is accepting images in black and white TIFF format only. In the future EFS technical standards will be updated as needed to accommodate filing color images and use of other standard file formats. Two issues that limit the file types we will accept are proprietary file types and loss of data during compression. That is, the native output of some programs is not readily readable without the program itself, and some compression algorithms (such as jpeg) simplify images to compress them, which results in an image that has lost some data. FIGURES OF DRAWINGS, CHEMICAL STRUCTURES, AND MATH FORMULAE IN EFS: How do I add my figures to my submission? In the PASAT authoring tool the Figure Manager assists you with adding and removing Figures and moving them relative to one another. A thumbnail of each figure will appear as the Figure is added. Clicking on the thumbnail will show the file name at the top of the Figure Manager window. I need to add another Figure. How do I add it?In the PASAT authoring tool, use the Figure Manager. Select the figure that you would like your next figure to follow. Select the Add Below button and attach the new figure file. I attached a Figure twice. How do I delete the second occurrence?In the PASAT authoring tool, use the Figure Manager, click on the thumbnail of the second occurrence, and then click the Remove button. In the WordPerfect XML Template use the XML Tree. Double-click on the Figure tag of the second occurrence, and press the Delete key. You must also remove the image reference from the Insert/File References list. See the authoring tool user manuals for detailed instructions. I create my drawings using AutoCAD. Can I submit these with my electronic applications? Yes, if you save the drawings as TIFF images. TIFF images have a file extension of tiff. I create my drawings using Visio. Can I submit these with my electronic application? Yes, if you save the drawings as TIFF images. My application includes a table. How do I include this data?Tables may be inserted into the specification document as TIFF images. Alternatively, the PASAT authoring tool provides a capability to create a table within the XML specification document. How do I insert chemical formulas into an EFS submission?Complex work units such as chemical formulas, mathematical equations and some tables should be saved as TIFF images and inserted into the submission document. The EFS ePAVE software will bundle these files with the specification for submission to the USPTO. I use ChemDraw to create chemical structures. Can I submit these files with my electronic application? ChemDraw Ultra 6.0 and ChemDraw Pro 6.0 allow you to save your structures in TIFF format. The TIFF image files created from ChemDraw are suitable for submission via EFS. What graphics software can be used to produce TIFF images?Imaging for Windows, which is distributed as a part of Microsoft Windows®, can be used to save TIFF images as can Visio, Star Office, Autodesk AutoCAD, MatLab, CorelDraw, Corel Photohouse, Adobe Illustrator and many other software packages. How many figures will the EFS accept?The limitation on number of figures is a memory limitation rather than a specific number of figures. A TIFF image in Group 4 compression takes from about 3 kb to about 300 kb depending on the level of detail in the Figure. The number of drawings that you can submit will depend on the length of your specification text and the electronic size of your TIFF files. How many figures-per-image will EFS require?EFS requires one figure per image. The specification will be authored using an XML authoring capability. The image file for each drawing/figure will be tagged within the specification document. My application contains many superscripts and subscripts. Do I have to tag each occurrence? If you type your application directly into the template, then each superscript and subscript must be tagged in the same manner that these characters were formatted in the word processing environment. If you have a previously prepared document, when you copy text from that document into the PASAT authoring tool, the PASAT authoring tool will recognize the special formatting and insert the appropriate tags. My application contains many special characters like Greek letters. How will I insert these into my authored Patent application specification? The PASAT authoring tool has a drop down menu in the authoring tool to allow you to insert identified special characters into your document if you are typing directly into the authoring tool template. If you are copying and pasting from a previously prepared document, the authoring tool will attempt to recognize the special character and paste it into the template. If the authoring tool cannot recognize the character, it will replace it with a readily identifiable character. Use the Find function to locate these instances and insert the desired characters from the drop down menu. The EFS approach to special characters is to use a character entity reference. Details about special characters and how they are handled in EFS can be found in the EFS authoring user manuals. The EFS supports the Lucida Sans Unicode font which covers most commonly used characters. Are the same drawing standards applied to EFS submissions as with paper submissions? Yes. New Utility Patents Applications submitted through EFS will have scanned TIFF images printed and the drawing standards applied under 37 CFR 1.84. With respect to Pre-Grant Publication submission, the TIFF images of the figures will be reviewed and a determination of their suitability for publication made. If the figures are not suitable for publication, the applicant will be notified. Should I crop my TIFF images?Yes. If you crop your image your image either in-line or figure at the end will be applied by the style sheet to your web browser accurately. By cropping you avoid double margins being applied to the images (one margin from the scan and another margin from your web browser) and cropping eliminates white space between the image and other contents in your specification. How are the drawing requirements as set forth in 37 CFR 1.84 applied in EFS? The requirements of the TIFF image: 300 dpi black & white non-compressed OR Group 4 compression will allow the applicant to submit images that will satisfy all the quality requirements under 37 CFR 1.84. The USPTO with your web browser & TIFF viewer plug-in will use the following margins on an 8 1/2" by 11" paper: • Top 1" • Left 1" • Right 3/4" • Bottom 3/4" These Margins satisfy 37 CFR 1.84 (g) What margin settings should I set for specification and the drawings?The margins that will applied to both the specification and the drawings on an 8 1/2" by 11" paper: • Top 1" • Left 1" • Right 3/4" • Bottom 3/4" These Margins satisfy both 37 CFR 1.84 (g) and 37 CFR 1.52 (a) (1) (ii). You may set up your Web browser for these margins by choosing FILE and then PAGE SETUP so your printed copy of the specification and drawing will have these same margins. What if I have multiple applicants that are assigning rights to different receiving individuals or entities? In this software release, only one assignment form can be completed and attached to a new utility submission. For example inventor # 1 works for the XYZ company and assigns all rights to this company, inventor # 2 works for ABC Company and assigns all rights to this company. This would require 2 different cover sheet submissions and therefore cannot be submitted through EFS at this time. You will not be able to file an assignment form with a pre-grant submission. TYPES OF SUBMISSIONS THAT CAN BE FILED WITH EFS: What type of submissions can be filed with EFS? EFS can be used to submit: New Utility Applications Biosequence listings Pre-Grant Publication Submissions in applications where the applicant wants an amended, redacted, voluntary, and/or republication to be published per 37 CFR 1.211, 1.215(c), 1.217(b), and 1.221. EFS does not accept: New plant applications Design applications Reissue applications Provisional applications International (PCT) applications Reexamination requests When will I be able to use EFS to electronically file all Patent application related documents? It is a goal of the USPTO to ultimately accept all Patent application submissions electronically. Each EFS release will add additional filing capability, until all application related documents can be electronically authored and filed. Can I use EFS to file a Trademark application?No, use the TEAS system to file trademark applications. You can access the Trademark Electronic Application System from the USPTO web site at www.uspto.gov May I use EFS to submit a Computer Readable Form Biosequence Listing for a pending paper application? Yes, this capability is available as an EFS filing. You must have: • Received an application serial number for a previously filed paper biotechnology utility application for which an electronic Computer Readable Form (CRF) biosequence listing is due. • Generated a CRF Biosequence Listing ASCII Text file for the previously filed Patent application using PatentIn or another existing biosequence listing authoring tool. • Requested and received a customer number and digital certificate information from USPTO. • Installed the necessary USPTO Direct Security software on your PC to create the certificate. • Installed the ePAVE software on your PC. Can I file a U.S. application through EFS from another country?Yes, but an electronic filer must meet the USPTO business requirements for filing and prosecuting a U.S. Patent application. Prior to using EFS software a digital certificate and customer number must be obtained. For example, a pro se inventor in the Germany who got a customer number and digital certificate could submit from Germany . A Canadian attorney who has a U.S. registration number, a customer number, and a digital certificate could submit from Canada . Attorneys or agents must be registered with the USPTO to represent inventors. Use of EFS submission software is subject to export and import restrictions relating to cryptographic software. Can I submit a request for Abandonment of a Patent Application using EFS?No. Requests for Abandonment should be filed in paper. Can I submit an information disclosure statement using EFS?No. Not at this time. Source: The United States Patent and Trademark Office
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