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From PLI’s Course Handbook2nd Annual Patent Law Institute#1450630THE NEW AGE OF ELECTRONICPATENT FILING FROM A – Z:THE PATENT SIDE GOES PAPERLESSLeonard Richard SvenssonBirch, Stewart, Kolasch & Birch, LLP 2006 Birch, Stewart, Kolasch & Birch

THE NEW AGE OF ELECTRONICPATENT FILING FROM A – Z:THE PATENT SIDE GOESPAPERLESS

OVERVIEW OF PRESENTATION Benefits of Using Electronic Systems Available USPTO Systems Potential Dangers and Pitfalls 2006 Birch, Stewart, Kolasch & Birch

Benefits to Electronic Filing Courier Costs/Express Mail Copy charges Filing Fees Private PAIR access E-Receipts Application Numbers Speeds up Prosecution File Request for Accelerated Examination via EFS File an ADS with your new application filing, the application data is directly uploaded intothe U.S. PTO system Application prosecution delays will be reduced Accurate bibliographic data will be in a patent application publication Ability to file anywhere and anytime with an internet connection 2006 Birch, Stewart, Kolasch & Birch

EFS – WEB What is EFS?File patent applications and documents directly with the U.S. PTO. Web-basedsystem, no additional software or tools necessary. What documents?YES Accelerated Examination, New Utility, Provisional, Design, National Stage371 Applications, Design Reissue, Utility Reissue, Reexam, Design with ColorDrawings, and International PCT Applications.Follow-on documents and fees such as Amendments, Sequence ListingsInformation Disclosure Statements, Pre-grant publications, Petition to AcceptUnintentionally Delayed Payment of Maintenance Fees in an Expired Patent andIssue Fee payments.NO Certified Priority Document, Maintenance Fees, Credit Card AuthorizationForms, New Plant Applications or Color Plant Drawings, and Assignments (shoulduse EPAS). 2006 Birch, Stewart, Kolasch & Birch

When Can I fileWhen can I file?Monday-Friday 6 am – 12 midnight (Eastern Time) andSaturday-Sunday 10 am –6 pm 1-866-217-9197New Applications – 24 hours a day, 365 days a yearFollow-on filings – 23 hours a day, 365 days a year(unavailable 4:30am-5:30am, Eastern Time)Fee Payments – (unavailable every Sunday Midnight-4am,Eastern Time) 2006 Birch, Stewart, Kolasch & Birch

Registered vs UnregisteredUsersRegistered Users hold a public key infrastructure (PKI) certificate and aCustomer Number. This enables them to use Private PAIR, E-file newapplications and E-file follow-on documents.Unregistered Users can not view submissions in Private PAIR and can e-fileapplications only. They can not E-file follow-on documents.You may still E-file using the correspondence address but you will not be ableto view your submission in private PAIR.Training?Contact EFS.Training@USPTO.gov 2006 Birch, Stewart, Kolasch & Birch

Registration – How?Fill out a customer number request form and fax it to the EBC at 571-273-0177.http://www.uspto.gov/web/forms/sb0125 fill.pdfAssociate your current patent applications to your new customer number.http://www.uspto.gov/ebc/documents/cust req instructions.xlsThe USPTO issues PKI certificates to registered patent attorneys, registered patentagents, independent inventors and limited recognition practitioners.Fill out a Certificate Action eactionform.pdfHave the form notarized and mail it to the EBC.The EBC will then provide you with an authorization code, reference number andinstructions for set up. 2006 Birch, Stewart, Kolasch & Birch

Getting StartedLets submitanAmendmentfor a UtilityApplicationpreviouslyfiled.Prepare your documents and save/scan them as PDFdocuments.Use my Forms?fillable forms?Use the PTO’sInformation DOES NOTdirectly feed into PALMand PAIRConvenienceof using yourown forms 2006 Birch, Stewart, Kolasch & BirchInformation directlyfeeds into PALM andPAIRImprovesAccuracy ofData

Our Firm’s Process Prepare your documents inIPDAS pursuant to the firm’sstanding procedures usingthe deposit account. Savethe documents in Wordformat to the appropriatefolder corresponding to yourfile. Give documents to theAttorney for review andsignature. Scan each signed documentas a PDF document.** Open a new folder titled “efile” under the client/matterfolder. Save each PDF document tothe client/matter e-folder. If you have a single PDF filewith multiple documents, youwill need to index themseparately for the USPTO’sImage File Wrapper*You may also file electronically via an esignature. 2006 Birch, Stewart, Kolasch & Birch

Select “eFile-R egistered” from the portal applicationsscreen, section “P atent Electronic Filing”. 2006 Birch, Stewart, Kolasch & Birch

LOGGING INTOEFS DO NOT USE BACK BUTTONS, ONLYUSE THE TABS AT THE TOP OF THESCREEN. Log in using the Attorney’s profile andpassword. Enter the password and select“Authenticate”. 2006 Birch, Stewart, Kolasch & Birch

When working underyour Attorney’sauthority, you mustcertify your status,provide your nameand e-mail address(mailroom@bskb.com)and indicate if thisis a new orexisting applicationthen Select “Continue”. 2006 Birch, Stewart, Kolasch & Birch

If you select “Existing Application”, you will be prompted to enter theApplication Number and the Confirmation Number and Select “Continue”. 2006 Birch, Stewart, Kolasch & Birch

If you select “New Application”, you will then be prompted to select a type ofnew application. 2006 Birch, Stewart, Kolasch & Birch

Your case specific information will appear.Review the information.And Proceed. 2006 Birch, Stewart, Kolasch & Birch

2006 Birch, Stewart, Kolasch & Birch

ATTACHING DOCUMENTS (Single PDF)Browse and selectthe PDF file to besubmitted fromthe appropriate p:/client/matter“E-file” foldercorrespondingto your file.Enter the documentcategory and descriptionfor the file or its parts.If you need to attach additionaldocuments,click ‘Add Document’ or“Add Parts” and repeatthese steps. 2006 Birch, Stewart, Kolasch & Birch

ATTACHING DOCUMENTS (Multiple PDF) If you have a single PDF file with multiple documents, you willneed to index them separately for the USPTO’s Image FileWrapper. 2006 Birch, Stewart, Kolasch & Birch

For example, a patent application PDF file may contain a specification, claims, abstract, anddrawings that should be listed as separate documents.Browse and select the PDF file to be submitted.Indicate whether the PDF file has multiple documents by clicking the ‘Multi-Doc’ check box.Enter the category and the document description for the file or its parts.Finally, enter the page ranges for each section.Once all documents have been attached, select “Upload & Validate” to automatically check forcompliance and to be notified of errors/warnings before submission. You may also evaluateyour work to this point by selecting the “Review” button at the bottom of the screen. 2006 Birch, Stewart, Kolasch & Birch

Amendment is a Multiple PDF 2006 Birch, Stewart, Kolasch & Birch

Amendment plus accompanyingdocuments 2006 Birch, Stewart, Kolasch & Birch

Please also note that youwill always receive anerror if the document wasnot saved properly. 2006 Birch, Stewart, Kolasch & Birch

FEESIF YOU DO NOT HAVE FEES CORRESPONDING TO YOUR FILING,CLICK ‘CONTINUE’. You now will be promptedto pay the appropriatefees.You must indicate thebusiness size(large or small entity)and select all applicablefiling fees.Click ‘Calculate’ to seefees and double checkthe fees against yourfee transmittal documents.The fees should match(on-line fees and IPDAS generatedform).‘Continue’ toproceed to thenext section. 2006 Birch, Stewart, Kolasch & Birch

SAVING SUBMISSIONS If this is a non-extendabledeadline (XXX or newapplication) then you need toget a checker to examineyour on-line package.Accordingly, click on “Savefor Later Submission”. 2006 Birch, Stewart, Kolasch & Birch

You will receive a confirmation screen indicating that your filing was saved. Print savedconfirmation screen (see right side of screen “print record”) and exit the system. 2006 Birch, Stewart, Kolasch & Birch

Not Saving? Want to Continue? 2006 Birch, Stewart, Kolasch & Birch

FinalizingYou will also have theopportunity to eitherpay your fees at thistime or indicate thatyou would like to paythem later andacknowledge thatadditional charges maybe incurred. Click on‘Yes, I want to paynow’. 2006 Birch, Stewart, Kolasch & Birch

Fees may be paid to USPTO via one of three means: By charging the filer’s USPTO Deposit Account – BSKB USES ONLY THIS OPTION By charging a Credit Card Or via an Electronic Funds TransferOnce you have selected your payment type,click ‘Start online payment process”. 2006 Birch, Stewart, Kolasch & Birch

You may now enter theUSPTO Deposit Accountinformation.Enter Deposit AccountNumber(without dashes)Enter Deposit AccountAccess CodeClick "Choose anAuthorized User for this DepositAccount". 2006 Birch, Stewart, Kolasch & Birch

Choose an authorized userof the DepositAccount from thedrop-down menu. Click "Yes" to certifyyou have the right to usethe account. Check the over orunder charge fees(if needed) Click "Yes –charge depositaccount now" 2006 Birch, Stewart, Kolasch & Birch

You are done well almostdone!!!!

Acknowledgement Receipt Your acknowledgement receipt provides youwith the time and date your submission wasreceived as well as re-displaying your criticalapplication information and details. It alsoallows you to do any of the following: Save Receipt File Another Application File an Assignment of Ownership Exit the Patent Application Filing 2006 Birch, Stewart, Kolasch & Birch

Once you have completed your electronic filing, save the “Acknowledgement Receipt” If you accidentallforget to print out the “Acknowledgement Receipt”, the system saves thelast 20 submission (see 1st page) of EFS web. 2006 Birch, Stewart, Kolasch & Birch

Finalizing Make the appropriate copies of the entire packageincluding a copy of the “Acknowledgement Receipt” forthe client. 2006 Birch, Stewart, Kolasch & Birch

From this same screen, select the“attach files” button and then the“revalidate” button. You willhave to enter the descriptions, etc.again as well.Once you hit the “edit attached files”, youwill be lead to the “Review Documents”screen. Next to each document that wasplaced onto the server, there is an “edit”or “remove” button on the right side.Select “remove”. 2006 Birch, Stewart, Kolasch & Birch

POTENTIALCHALLENGES/DANGERS Quality control Keeping complete records – paper &electronic Keeping docketing in the loop Cost of scanning equipment Different/additional staff duties What if USPTO server is down? 2006 Birch, Stewart, Kolasch & Birch

DANGERS ON THE PTO SIDE Examiners seem to not read important parts of theapplication. Examiners can confuse the identity of certaindocuments because of improper scanning. 2006 Birch, Stewart, Kolasch & Birch

EPAS (Electronic PatentAssignment System) What can be filed using EPAS?Assignment documents Change of name documents Merger documents Corrective Assignments Other documents relative to ownership orinterest in application/patent 2006 Birch, Stewart, Kolasch & Birch

PRIVATE PAIR SYSTEM Change attorney docket numbers Change list of attorneys associated withcustomer number Order certified copies of application Request publication changes(immediately posts in Private Pair) 2006 Birch, Stewart, Kolasch & Birch

NEW DEVELOPMENTS Pilot program for electronic notification ofoutgoing correspondence.Began December 16, 2006. Potential “fullproduction” in June 2007. Daily e-mail with list of applications forwhich some correspondence has issued. BSKB’s experience: May be efficient forUSPTO, adds burden to law firm. 2006 Birch, Stewart, Kolasch & Birch