1. Tuesday, Februray 3, 2004 1 Patent E-commerce at the United States Patent and Trademark Office Presented by: Edmund Crump, Mary Small and Bill Stryjewski Search and Information Research Administration USPTO

2. Tuesday, Februray 3, 2004 2 Agenda Electronic Filing –Overview of the Software –EFS-ABX new authoring tool PAIR –Public & Private PAIR –Image File Wrapper access –Electronic Patent Reference Patent Electronic Business Center

3. Tuesday, Februray 3, 2004 3 Electronic Filing System (EFS) EFS facilitates electronic authoring and secure submission of patent application documents to the USPTO via the Internet. EFS submission types –New Utility –Provisional –Electronic Information Disclosure Statement (eIDS) –Bio Sequence Listing –Pre Grant Publication –Multiple Assignments for patent properties Compliant with PCT Part 7, Annex F for electronic filing

4. Tuesday, Februray 3, 2004 4 Electronic Filing Concepts Author Submission (paper output) Check for Compliance with RulesCompile and Package for Mailing Mail Package to USPTO USPTO Postcard Receipt Tagged Data (electronic output) Software Validates, Bundles, Compresses Internet Provider, Browser, Security Software, Electronic Signature Electronic Mailroom/Receipt EFS applies Internet and e-commerce technologies to the existing patent practice Patent Business Rules/Practices + Internet Technologies

5. Tuesday, Februray 3, 2004 5 EFS – Customer Benefits  Reduces mailing fees and inconvenience.  Flexibility and convenience when filing: 24 hours a day, 7 days a week From almost anywhere, over the Internet  Facilitate e-filing and accuracy for Pre-Grant Publication.  Automatic validation of EFS submissions for completeness and USPTO business rules.  Immediate Electronic Acknowledgement Receipt: No delay while waiting for Postcard. Use Application Number for same day paper filings.  Rapid assignment recordation and notification.  Automatic paragraph and claim numbering facilitates future amendments.

6. Tuesday, Februray 3, 2004 6 EFS Software Overview PASAT or EFS-ABX generates an XML file of the specification (description, claims, abstract and drawings) ePAVE Submission Packet transmitted to USPTO Application XML Authoring Tool ePAVE is a form Based Software component and allows the attachment of the application ePAVE generates the submission package and securely submits to the USPTO

7. Tuesday, Februray 3, 2004 7 ePAVE Electronic Package and Validation Engine Tree view to Navigate through the submission Form fill able Screens to capture Submission information

8. Tuesday, Februray 3, 2004 8 ePAVE will automatically bundle, compress, wrap and securely transmit to the USPTO via the Internet. After successful receipt and verification at USPTO, an Acknowledgement Receipt is returned to the electronic filer. ePAVE Electronic Package and Validation Engine

9. Tuesday, Februray 3, 2004 9 Electronic Acknowledgement Receipt Includes Application Number ePAVE electronic Packaging and Validation Engine Identifies the Submission Type EFS Server verifies the contents of the package upon receipt and gives a listing of all files included in the submission

10. Tuesday, Februray 3, 2004 10 Electronic Submission Types and Processing Submission Types –New Utility and Provisional Applications Declaration/Power of Attorney electronic Information Disclosure Statement (eIDS) Text Files attachments (Bio Sequence Listings; Tables; –Pre-Grant Publication (under 37 CFR 1.217, 1.219; and 1.221) –CRF Bio sequence Submissions (37 CFR 1.821-1.825) –Electronic Information Disclosure Statement (eIDS) –Assignments Automated Processing –Bibliographic data load into PALM/PAIR for New Utility and Provisional –Fees (credit card & deposit account) –Assignment Processing –Soft Scanning of New Utility and Provisional Submissions to IFW –Providing the Examiner a search string for referenced applications

11. Tuesday, Februray 3, 2004 11 EFS-ABX Electronic Filing System Application Body in XML Currently in Beta Expecting a Spring 2004 release Microsoft (MS) Word template –Stable and easy to install –Use of all MS Word Functionality Numerous Work Flows –Allows users to share documents Simple interface Exports MS Word Document to XML based on MS Word Styles applied to the specification –Outputs embedded images & MSWord Objects to Annex F standard (XML and Tiff)

12. Tuesday, Februray 3, 2004 12 Patent Application Information Retrieval (PAIR) New Features February 2004

13. Tuesday, Februray 3, 2004 13 Public PAIR – New Look 08999942

14. Tuesday, Februray 3, 2004 14 Private PAIR – New Look

15. Tuesday, Februray 3, 2004 15 Application Detail – New Look

16. Tuesday, Februray 3, 2004 16 Application Detail – New Look

17. Tuesday, Februray 3, 2004 17 Private PAIR with E-Patent Reference Launched December 1, 2003 –View and Download cited US patent and published application references: Launch from Private PAIR “Display References” option Select from available reference forms (IDS, 892) Desktop, Java-based software Preview Front Page Select desired directory location Download in popular PDF format View in Adobe Acrobat Reader

18. Tuesday, Februray 3, 2004 18 Private PAIR – Display References

19. Tuesday, Februray 3, 2004 19 Launching E-Patent Reference

20. Tuesday, Februray 3, 2004 20 Select a reference and click Preview Download options Reference List Adjusts to view longer reference lists E-Patent Reference

21. Tuesday, Februray 3, 2004 21 Preview Front Page

22. Tuesday, Februray 3, 2004 22 Downloads in Progress 21 3

23. Tuesday, Februray 3, 2004 23 View Downloaded Reference

24. Tuesday, Februray 3, 2004 24 PAIR – New Features New design: available mid-February E-Patent Reference: available now! –Look for “Display References” search option

25. Tuesday, Februray 3, 2004 25 Patent Electronic Business Center (EBC) Provides access to electronic business applications for patent customers –Customer Number Registration Forms Required for PAIR and EFS –Public Key Infrastructure (PKI) Registration Forms Security software to support electronic commerce Required for PAIR and EFS –Patent Application Information Retrieval (PAIR) Access to application status and history via the internet –Electronic Filing System (EFS) Filing of patent applications via the internet

26. Tuesday, Februray 3, 2004 26 Patent Electronic Business Center EBC Customer Support Center Available To Our Customers 18 Hours Daily Monday - Friday Hours of Operation: Mondays – Fridays: 6 AM – Midnight (Eastern Time) Contact Information: Telephone: Local (703) 305-3028 Toll-Free 1 (866) 217-9197 E-Mail: EBC@uspto.gov Facsimile: (703) 308-2840 Address:U.S. Patent & Trademark Office, Mail Stop EBC, Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450 Website: http://www.uspto.gov/ebc/index.html http://www.uspto.gov/ebc/index.html