Registered users may use EFS-Web to submit web-based documents such as ePetitions, Requests for Withdrawal as Attorney or Agent of Record, and eTerminal Disclaimers. These ePetitions, requests, and eTerminal Disclaimers are auto-processed and granted or approved immediately upon submission if the ePetition, request, or eTerminal Disclaimer meets all of the requirements. See the ePetition Resource Page at www.uspto.gov/ patents-application-process/applying-online/epetition- resource-page for a list of ePetitions.

Registered users may use EFS-Web to submit web-based documents such as ePetitions, Requests for Withdrawal as Attorney or Agent of Record, and eTerminal Disclaimers. These ePetitions, requests, and eTerminal Disclaimers are auto-processed and granted or approved immediately upon submission if the ePetition, request, or eTerminal Disclaimer meets all of the requirements. See the ePetition Resource Page at www.uspto.gov/ patents-application-process/applying-online/epetition- resource-page for a list of ePetitions.

Registered users may use EFS-Web to submit web-based documents such as ePetitions, Requests for Withdrawal as Attorney or Agent of Record, and eTerminal Disclaimers. These ePetitions, requests, and eTerminal Disclaimers are auto-processed and granted or approved immediately upon submission if the ePetition, request, or eTerminal Disclaimer meets all of the requirements. See the ePetition Resource Page at www.uspto.gov/ patents-application-process/applying-online/epetition- resource-page for a list of ePetitions.

Registered users may sign into EFS-Web and provide information in web-based interfaces. An ePetition, request, or eTerminal Disclaimer document (PDF) is generated by EFS-Web based on the information entered into EFS-Web. This document may be reviewed prior to submission to ensure accuracy. This document and a decision granting the ePetition or request, or an approval letter approving of the eTerminal Disclaimer, will be loaded into the electronic application file (i.e., IFW), if the ePetition or request is granted, or if the eTerminal Disclaimer is approved. If the ePetition, request, or eTerminal Disclaimer does not meet all of the formal requirements, it will not be accepted for submission and loaded into the electronic application file (i.e., IFW).

As the USPTO transitions its Patent Electronic System from EFS-Web and PAIR to Patent Center, changes have been made to the protocols for accessing EFS-Web and PAIR. PKI certificates are no longer being used, and have been replaced with a new authentication and log-in method for EFS-Web and PAIR to comply with the latest Federal Information Security Management Act (FISMA) requirements. The new authentication and log-in method is a two-step authentication paradigm requiring each individual registered user of EFS-Web or PAIR to have a unique USPTO.gov account. Users of Financial Manager may already have a USPTO.gov account.

As the USPTO transitions its Patent Electronic System from EFS-Web and PAIR to Patent Center, changes have been made to the protocols for accessing EFS-Web and PAIR. PKI certificates are no longer being used, and have been replaced with a new authentication and log-in method for EFS-Web and PAIR to comply with the latest Federal Information Security Management Act (FISMA) requirements. The new authentication and log-in method is a two-step authentication paradigm requiring each individual registered user of EFS-Web or PAIR to have a unique USPTO.gov account. Users of Financial Manager may already have a USPTO.gov account.

As the USPTO transitions its Patent Electronic System from EFS-Web and PAIR to Patent Center, changes have been made to the protocols for accessing EFS-Web and PAIR. PKI certificates are no longer being used, and have been replaced with a new authentication and log-in method for EFS-Web and PAIR to comply with the latest Federal Information Security Management Act (FISMA) requirements. The new authentication and log-in method is a two-step authentication paradigm requiring each individual registered user of EFS-Web or PAIR to have a unique USPTO.gov account. Users of Financial Manager may already have a USPTO.gov account.

As the USPTO transitions its Patent Electronic System from EFS-Web and PAIR to Patent Center, changes have been made to the protocols for accessing EFS-Web and PAIR. PKI certificates are no longer being used, and have been replaced with a new authentication and log-in method for EFS-Web and PAIR to comply with the latest Federal Information Security Management Act (FISMA) requirements. The new authentication and log-in method is a two-step authentication paradigm requiring each individual registered user of EFS-Web or PAIR to have a unique USPTO.gov account. Users of Financial Manager may already have a USPTO.gov account.

Inventors, applicants, and patent practitioners; i.e., patent attorneys and agents registered to practice before the USPTO, may obtain credentials to access the Patent Electronic System. No other person may access the Patent Electronic System unless they are sponsored by a patent practitioner. A patent practitioner may sponsor other individuals to access the Patent Electronic System so as to access information and file documents on behalf of that patent practitioner. Such sponsorship is limited to those individuals acting under the direction and control of that practitioner. The sponsoring practitioner will be responsible for the actions of each sponsored individual. Sponsorship is further limited to those individuals performing the role of support staff to the practitioner through an employment agreement, including contractual agreements.

Inventors, applicants, and patent practitioners; i.e., patent attorneys and agents registered to practice before the USPTO, may obtain credentials to access the Patent Electronic System. No other person may access the Patent Electronic System unless they are sponsored by a patent practitioner. A patent practitioner may sponsor other individuals to access the Patent Electronic System so as to access information and file documents on behalf of that patent practitioner. Such sponsorship is limited to those individuals acting under the direction and control of that practitioner. The sponsoring practitioner will be responsible for the actions of each sponsored individual. Sponsorship is further limited to those individuals performing the role of support staff to the practitioner through an employment agreement, including contractual agreements.

Support staff individuals who are going to be sponsored by one or more patent practitioners will need to create an individual USPTO.gov account. A sponsored support staff individual acting under the direction and control of a patent practitioner may file documents signed by the practitioner via EFS-Web, in compliance with the Patent Electronic System Subscriber Agreement.

Support staff individuals who are going to be sponsored by one or more patent practitioners will need to create an individual USPTO.gov account. A sponsored support staff individual acting under the direction and control of a patent practitioner may file documents signed by the practitioner via EFS-Web, in compliance with the Patent Electronic System Subscriber Agreement.

When a sponsoring relationship no longer exists (e.g., the practitioner or the sponsored support staff individual are no longer at the same firm) the sponsoring practitioner should remove the sponsorship.

Registered users are permitted to access and file via EFS-WEb follow-on documents in applications in which they are acting on behalf of the applicant, and in reexamination and supplemental examination proceedings in which they are acting on behalf of the owner. Note that pursuant to 37 CFR 1.31 juristic entity applicants must be represented by a patent practitioner.

A Patent Electronic System subscriber who is a practitioner may grant sponsorship to a reasonable number of practitioner support individuals to work on their behalf under their direction and control. A sponsoring practitioner must take reasonable steps to ensure that the access of each sponsored practitioner support individual is consistent with the tasks assigned to that individual. Such reasonable steps include removing sponsorship where appropriate, including where the individual leaves the practitioner’s organization or the contractor’s organization or when the contractor is no longer under contract to the practitioner or the practitioner’s organization.

Each of the practitioner support individuals who are sponsored must have their own USPTO.gov account and must not share accounts among other support staff individuals. Each sponsored practitioner support staff individual must only be an employee of the practitioner or an employee of practitioner’s organization, an individual under contract to the practitioner or the practitioner’s organization, or an employee of a contractor under contract to the practitioner or the practitioner’s organization.

Each of the practitioner support individuals who are sponsored must have their own USPTO.gov account and must not share accounts among other support staff individuals. Each sponsored practitioner support staff individual must only be an employee of the practitioner or an employee of practitioner’s organization, an individual under contract to the practitioner or the practitioner’s organization, or an employee of a contractor under contract to the practitioner or the practitioner’s organization.

A practitioner may only sponsor support staff individuals and may not sponsor any other individuals or organizations including a company, a group, a client, a practitioner (see 37 CFR 11.1), or an invention promoter (see 37 CFR 4.2(a)), to become users of the Patent Electronic System. A sponsoring practitioner is responsible for verifying the identity of any person who is sponsored as stated in the Patent Electronic System Access Document. A sponsoring practitioner may only sponsor a reasonable number of practitioner support individuals to work under their direction for whom he/she can maintain proper control.

A practitioner may only sponsor support staff individuals and may not sponsor any other individuals or organizations including a company, a group, a client, a practitioner (see 37 CFR 11.1), or an invention promoter (see 37 CFR 4.2(a)), to become users of the Patent Electronic System. A sponsoring practitioner is responsible for verifying the identity of any person who is sponsored as stated in the Patent Electronic System Access Document. A sponsoring practitioner may only sponsor a reasonable number of practitioner support individuals to work under their direction for whom he/she can maintain proper control.

A sponsoring practitioner must take reasonable steps to ensure compliance by each sponsored practitioner support person with the requirements set forth in the subscriber agreement, including the restrictions on the software use in section 6 and the restrictions on the export (including deemed export) of technology and software included in patent applications in section 7. If a sponsored practitioner support person is not a U.S. citizen, their access to the technology and software constitutes an export.

A sponsored practitioner support person may only use their Patent Electronic System account to access, in an authorized support capacity, customer numbers and application information associated with their Patent Electronic System profile in accordance with the laws, regulations, and policies of the USPTO including this Legal Framework. A sponsored practitioner support person may only use or rely on their Patent Electronic System accounts for communication with the USPTO in compliance with the laws, regulations, and policies of the USPTO.

Registered and unregistered users may submit a prior art and/or written statement submission for entry into a patent file under 37 CFR 1.501. The patent must be enforceable for the submission to be entered. A submission into a patent file under 37 CFR 1.501 cannot be filed via EFS-Web in design or plant patents. To submit a 37 CFR 1.501 submission, select “Prior Art Submission into Patent File under 37 CFR 1.501 ” and enter the Application Number and Patent Number. This places the submission in a segregated area separate from the patent file. After review by appropriate USPTO personnel, the submission may be placed in the patent file.

Registered and unregistered users may submit a prior art and/or written statement submission for entry into a patent file under 37 CFR 1.501. The patent must be enforceable for the submission to be entered. A submission into a patent file under 37 CFR 1.501 cannot be filed via EFS-Web in design or plant patents. To submit a 37 CFR 1.501 submission, select “Prior Art Submission into Patent File under 37 CFR 1.501 ” and enter the Application Number and Patent Number. This places the submission in a segregated area separate from the patent file. After review by appropriate USPTO personnel, the submission may be placed in the patent file.

Registered and unregistered users may submit a prior art and/or written statement submission for entry into a patent file under 37 CFR 1.501. The patent must be enforceable for the submission to be entered. A submission into a patent file under 37 CFR 1.501 cannot be filed via EFS-Web in design or plant patents. To submit a 37 CFR 1.501 submission, select “Prior Art Submission into Patent File under 37 CFR 1.501 ” and enter the Application Number and Patent Number. This places the submission in a segregated area separate from the patent file. After review by appropriate USPTO personnel, the submission may be placed in the patent file.

Registered and unregistered users may submit a prior art and/or written statement submission for entry into a patent file under 37 CFR 1.501. The patent must be enforceable for the submission to be entered. A submission into a patent file under 37 CFR 1.501 cannot be filed via EFS-Web in design or plant patents. To submit a 37 CFR 1.501 submission, select “Prior Art Submission into Patent File under 37 CFR 1.501 ” and enter the Application Number and Patent Number. This places the submission in a segregated area separate from the patent file. After review by appropriate USPTO personnel, the submission may be placed in the patent file.

Registered and unregistered users may submit a prior art and/or written statement submission for entry into a patent file under 37 CFR 1.501. The patent must be enforceable for the submission to be entered. A submission into a patent file under 37 CFR 1.501 cannot be filed via EFS-Web in design or plant patents. To submit a 37 CFR 1.501 submission, select “Prior Art Submission into Patent File under 37 CFR 1.501 ” and enter the Application Number and Patent Number. This places the submission in a segregated area separate from the patent file. After review by appropriate USPTO personnel, the submission may be placed in the patent file.

A credit/debit card charge authorization transmittal (e.g., PTO-2038) may be submitted by facsimile transmission to the USPTO Central Facsimile (571) 273-8300, or sent via Priority Mail Express ® from the United States Postal Service (USPS) in accordance with 37 CFR 1.10. Applicants must include the application number from the Electronic Acknowledgement Receipt to ensure that the fees are paid in the correct application. Facsimile submission of the basic national fee for a national stage application under 35 U.S.C. 371 is not accepted. Failure to timely pay the basic national fee prior to the expiration of 30 months from the priority date will result in abandonment of the international application for purposes of the U.S. national phase.

A credit/debit card charge authorization transmittal (e.g., PTO-2038) may be submitted by facsimile transmission to the USPTO Central Facsimile (571) 273-8300, or sent via Priority Mail Express ® from the United States Postal Service (USPS) in accordance with 37 CFR 1.10. Applicants must include the application number from the Electronic Acknowledgement Receipt to ensure that the fees are paid in the correct application. Facsimile submission of the basic national fee for a national stage application under 35 U.S.C. 371 is not accepted. Failure to timely pay the basic national fee prior to the expiration of 30 months from the priority date will result in abandonment of the international application for purposes of the U.S. national phase.

A credit/debit card charge authorization transmittal (e.g., PTO-2038) may be submitted by facsimile transmission to the USPTO Central Facsimile (571) 273-8300, or sent via Priority Mail Express ® from the United States Postal Service (USPS) in accordance with 37 CFR 1.10. Applicants must include the application number from the Electronic Acknowledgement Receipt to ensure that the fees are paid in the correct application. Facsimile submission of the basic national fee for a national stage application under 35 U.S.C. 371 is not accepted. Failure to timely pay the basic national fee prior to the expiration of 30 months from the priority date will result in abandonment of the international application for purposes of the U.S. national phase.

A credit/debit card charge authorization transmittal (e.g., PTO-2038) may be submitted by facsimile transmission to the USPTO Central Facsimile (571) 273-8300, or sent via Priority Mail Express ® from the United States Postal Service (USPS) in accordance with 37 CFR 1.10. Applicants must include the application number from the Electronic Acknowledgement Receipt to ensure that the fees are paid in the correct application. Facsimile submission of the basic national fee for a national stage application under 35 U.S.C. 371 is not accepted. Failure to timely pay the basic national fee prior to the expiration of 30 months from the priority date will result in abandonment of the international application for purposes of the U.S. national phase.

The basic national fee is required in order for an international application to enter the national stage under 35 U.S.C. 371. See 37 CFR 1.495. Users are permitted to submit the basic national fee with the national stage submission under 35 U.S.C. 371 via EFS-Web and EFS-Web Contingency using the USPTO payment page. If the payment system is unavailable, neither EFS-Web nor EFS-Web Contingency will permit users to make payment using the interactive payment interfaces. Applicant may pay the necessary national stage entry fees by including a written authorization to charge a deposit account the desired fees together with the national stage submission under 35 U.S.C. 371, or by sending the payment via Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10 on the same date that the national stage submission is electronically filed.

The basic national fee is required in order for an international application to enter the national stage under 35 U.S.C. 371. See 37 CFR 1.495. Users are permitted to submit the basic national fee with the national stage submission under 35 U.S.C. 371 via EFS-Web and EFS-Web Contingency using the USPTO payment page. If the payment system is unavailable, neither EFS-Web nor EFS-Web Contingency will permit users to make payment using the interactive payment interfaces. Applicant may pay the necessary national stage entry fees by including a written authorization to charge a deposit account the desired fees together with the national stage submission under 35 U.S.C. 371, or by sending the payment via Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10 on the same date that the national stage submission is electronically filed.

The basic national fee is required in order for an international application to enter the national stage under 35 U.S.C. 371. See 37 CFR 1.495. Users are permitted to submit the basic national fee with the national stage submission under 35 U.S.C. 371 via EFS-Web and EFS-Web Contingency using the USPTO payment page. If the payment system is unavailable, neither EFS-Web nor EFS-Web Contingency will permit users to make payment using the interactive payment interfaces. Applicant may pay the necessary national stage entry fees by including a written authorization to charge a deposit account the desired fees together with the national stage submission under 35 U.S.C. 371, or by sending the payment via Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10 on the same date that the national stage submission is electronically filed.

See subsection M, below, for additional information pertaining to the filing of international applications (PCT) and entry into the national stage under 35 U.S.C. 371.

Drawings submitted in international applications (PCT) are required to comply with PCT Rule 11.13, which does not permit color drawings. Furthermore, there is no provision for photographs in international applications. Nevertheless, black and white photographs will be accepted where it is impossible to present in a drawing what is to be shown (e.g., crystalline structures). Color photographs are not permitted in international applications. Applicants should, where possible, adhere to PCT Rule 11.13 and provide any necessary explanation of relevant colors in the description, since black and white drawings may be required by some offices in the national phase. Providing drawings and photographs in black and white will also help avoid receiving an invitation from the United States Receiving Office (RO/US) to comply with PCT Rule 11.13. Furthermore, the RO/US converts color drawings/photographs into black and white TIFF images, and such conversion may result in details being lost. Similarly, the International Bureau will, for international publication purposes, convert color drawings/photographs into black and white (not grayscale), which may result in details being lost. Consequently, conversion from color to black and white could impact the disclosure of the invention in the international application and affect the processing of the international application in the international and national phases.

All of these types of documents may be submitted as ASCII text files with a “.txt” extension (e.g., “seqlist.txt”) for applications filed under 35 U.S.C. 111, national stage applications under 35 U.S.C. 371, reexamination proceedings, and supplemental examination proceedings. The compact disc practice of 37 CFR 1.52(e) and 1.821 et seq. remains as a filing option. The filing of international applications (PCT) via EFS-Web is discussed in subsection M., below.

The term “international application (PCT)” as used in this framework refers to an international application filed under the PCT. The term “national stage submission” as used in this subsection of the framework refers to an international application (PCT) designating the United States where a submission has been made to enter the U.S. national stage under 35 U.S.C. 371.

EFS-Web enables users to electronically file international applications (PCT) with the United States Receiving Office (RO/US). The required page size for international applications (PCT) filed via EFS-Web in PDF format is A4 (29.7 cm x 21 cm). See PCT Rule 11.5. See subsection M.7., below, for more information about follow-on submissions during the international phase.

EFS-Web enables users to electronically file international applications (PCT) with the United States Receiving Office (RO/US). The required page size for international applications (PCT) filed via EFS-Web in PDF format is A4 (29.7 cm x 21 cm). See PCT Rule 11.5. See subsection M.7., below, for more information about follow-on submissions during the international phase.

EFS-Web permits users to submit zip files created by PCT-SAFE or ePCT. A zip file created using PCT-SAFE or ePCT will contain the PCT Request and a fee calculation sheet in PDF format, which are converted to TIFF images and loaded into the image file wrapper by the USPTO. PCT-SAFE and ePCT users may create and electronically sign using an S-signature the PCT Request, including the Declaration of Inventorship, for the purposes of filing via EFS-Web with the United States Receiving Office. PCT-SAFE and ePCT users may create a.zip file containing a validated PCT Request which will entitle the applicant to a reduction of the international filing fee when the PCT-SAFE or ePCT zip file is included in a new international application (PCT) filed with the United States Receiving Office via EFS-Web. See Use of WIPO's ePCT System for Preparing the PCT Request for Filing as Part of an International Application With the USPTO as Receiving Office, 81 FR 27417 (May 6, 2016). Alternatively, if the applicant chooses not to use PCT-SAFE or ePCT to create the PCT Request and fee calculation sheet, the applicant may use Form PCT/RO/101 (or equivalent) for the Request and attach the PDF file to the EFS-Web submission.

The United States Receiving Office may invite the applicant to correct any defects in the drawings or photographs if they do not comply with PCT Rule 11.13.

The basic national fee is required in order for an international application (PCT) to enter the national stage under 35 U.S.C. 371. See 37 CFR 1.495. Users are permitted to submit the basic national fee with the national stage submission under 35 U.S.C. 371 via EFS-Web using the USPTO payment page.

The basic national fee is required in order for an international application (PCT) to enter the national stage under 35 U.S.C. 371. See 37 CFR 1.495. Users are permitted to submit the basic national fee with the national stage submission under 35 U.S.C. 371 via EFS-Web using the USPTO payment page.

New National Stage Submission: For any new national stage submissions under 35 U.S.C. 371 filed via EFS-Web, the system automatically checks the PALM system to verify that no previous national stage submission has been made for the particular international application (PCT) referenced in the new national stage submission. EFS-Web users should confirm that the correct international application (PCT) number is entered on the EFS-Web screen to insure that the correct international application (PCT) is initialized as a national stage application. If the PALM system finds a previous national stage submission has been made, the user will be given a warning message and an opportunity to verify, and correct if necessary, the referenced international application (PCT) number. If the PALM system is unavailable, EFS Web cannot complete the PALM verification, and thus EFS-Web will not permit a new national stage submission under 35 U.S.C. 371 to be filed. Therefore, if PALM is unavailable, applicants may send a new national stage submission by hand delivery, or by Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10, to timely submit documents and fee(s) for national stage entry. Applicants may not file either a copy of the international application or the basic national fee necessary to enter the national stage as specified in 37 CFR 1.495(b) via facsimile transmission. See 37 CFR 1.6(d)(3) and 1.8(a)(2)(i)(F).

New National Stage Submission: For any new national stage submissions under 35 U.S.C. 371 filed via EFS-Web, the system automatically checks the PALM system to verify that no previous national stage submission has been made for the particular international application (PCT) referenced in the new national stage submission. EFS-Web users should confirm that the correct international application (PCT) number is entered on the EFS-Web screen to insure that the correct international application (PCT) is initialized as a national stage application. If the PALM system finds a previous national stage submission has been made, the user will be given a warning message and an opportunity to verify, and correct if necessary, the referenced international application (PCT) number. If the PALM system is unavailable, EFS Web cannot complete the PALM verification, and thus EFS-Web will not permit a new national stage submission under 35 U.S.C. 371 to be filed. Therefore, if PALM is unavailable, applicants may send a new national stage submission by hand delivery, or by Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10, to timely submit documents and fee(s) for national stage entry. Applicants may not file either a copy of the international application or the basic national fee necessary to enter the national stage as specified in 37 CFR 1.495(b) via facsimile transmission. See 37 CFR 1.6(d)(3) and 1.8(a)(2)(i)(F).

New National Stage Submission: For any new national stage submissions under 35 U.S.C. 371 filed via EFS-Web, the system automatically checks the PALM system to verify that no previous national stage submission has been made for the particular international application (PCT) referenced in the new national stage submission. EFS-Web users should confirm that the correct international application (PCT) number is entered on the EFS-Web screen to insure that the correct international application (PCT) is initialized as a national stage application. If the PALM system finds a previous national stage submission has been made, the user will be given a warning message and an opportunity to verify, and correct if necessary, the referenced international application (PCT) number. If the PALM system is unavailable, EFS Web cannot complete the PALM verification, and thus EFS-Web will not permit a new national stage submission under 35 U.S.C. 371 to be filed. Therefore, if PALM is unavailable, applicants may send a new national stage submission by hand delivery, or by Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10, to timely submit documents and fee(s) for national stage entry. Applicants may not file either a copy of the international application or the basic national fee necessary to enter the national stage as specified in 37 CFR 1.495(b) via facsimile transmission. See 37 CFR 1.6(d)(3) and 1.8(a)(2)(i)(F).

It is recommended that applicants continue to use the Transmittal Letter to the United States Designated/Elected Office (DO/EO/US) Concerning a Submission Under 35 U.S.C. 371 (Form PTO-1390) when electronically filing documents for entry into the U.S. national stage under 35 U.S.C. 371. The PTO-1390 Form includes useful information that is not otherwise collected by EFS-Web at this time. EFS-Web users should confirm that the correct international application (PCT) number is entered on the EFS-Web screen to help insure that the correct international application (PCT) is initialized as a national stage submission. A petition under 37 CFR 1.182 with the appropriate fee under 37 CFR 1.17(f) may be required to correct inconsistencies in the international application (PCT) number indicated in the submission to enter the national stage under 35 U.S.C. 371

It is recommended that applicants continue to use the Transmittal Letter to the United States Designated/Elected Office (DO/EO/US) Concerning a Submission Under 35 U.S.C. 371 (Form PTO-1390) when electronically filing documents for entry into the U.S. national stage under 35 U.S.C. 371. The PTO-1390 Form includes useful information that is not otherwise collected by EFS-Web at this time. EFS-Web users should confirm that the correct international application (PCT) number is entered on the EFS-Web screen to help insure that the correct international application (PCT) is initialized as a national stage submission. A petition under 37 CFR 1.182 with the appropriate fee under 37 CFR 1.17(f) may be required to correct inconsistencies in the international application (PCT) number indicated in the submission to enter the national stage under 35 U.S.C. 371

It is recommended that applicants continue to use the Transmittal Letter to the United States Designated/Elected Office (DO/EO/US) Concerning a Submission Under 35 U.S.C. 371 (Form PTO-1390) when electronically filing documents for entry into the U.S. national stage under 35 U.S.C. 371. The PTO-1390 Form includes useful information that is not otherwise collected by EFS-Web at this time. EFS-Web users should confirm that the correct international application (PCT) number is entered on the EFS-Web screen to help insure that the correct international application (PCT) is initialized as a national stage submission. A petition under 37 CFR 1.182 with the appropriate fee under 37 CFR 1.17(f) may be required to correct inconsistencies in the international application (PCT) number indicated in the submission to enter the national stage under 35 U.S.C. 371

If a timely submission to enter the national stage of an international application (PCT) is compliant with the conditions of 35 U.S.C. 371 and other applicable requirements, Form PCT/DO/EO/903 indicating acceptance of the application as a national stage submission under 35 U.S.C. 371 will be issued in addition to the filing receipt.

Tables related to a sequence listing must be an integral part of the description of the international application (PCT), and must not be included in the sequence listing part or the drawing part. Such tables will be taken into account when calculating the application sheet count, and excess sheet fees may be required. When applicant submits tables related to a sequence listing in an international application (PCT) via EFS-Web, the tables must be in a PDF file. If applicant submits tables related to a sequence listing in a text file, such tables will not be accepted as part of the international application (PCT). For more information, see Sequence Listings and Tables Related Thereto in International Applications Filed in the United States Receiving Office, 1344 Off. Gaz. Pat. Office 50 (July 7, 2009).

The following are Frequently Asked Questions (FAQs) regarding interim copies of foreign priority applications:
2. Are there any special instructions for filing an interim copy of the foreign priority application? Yes. Main parts of the interim copy of the foreign priority application, i.e., Abstract, Drawings, Specification, Claims, and where applicable, Sequence Listing or Computer Program Listings, along with the separate cover sheet required by 37 CFR 1.55(j), may be filed as a single PDF file via EFS-Web (or as a single paper document). The PDF file will be stored in the Image File Wrapper of the application, and applicants must select the document description “Interim copy of Foreign Priority Application” to index this document when filing online.

The following are Frequently Asked Questions (FAQs) regarding interim copies of foreign priority applications:
2. Are there any special instructions for filing an interim copy of the foreign priority application? Yes. Main parts of the interim copy of the foreign priority application, i.e., Abstract, Drawings, Specification, Claims, and where applicable, Sequence Listing or Computer Program Listings, along with the separate cover sheet required by 37 CFR 1.55(j), may be filed as a single PDF file via EFS-Web (or as a single paper document). The PDF file will be stored in the Image File Wrapper of the application, and applicants must select the document description “Interim copy of Foreign Priority Application” to index this document when filing online.

As discussed in MPEP § 608.05, users may submit the following document types, (specified in 37 CFR 1.52(e)), as ASCII text files via EFS-Web instead of on compact disc, provided the specification contains a statement in a separate paragraph that incorporates by reference the material in the ASCII text file identifying the name of the ASCII text file, the date of creation, and the size of the ASCII text file in bytes:

• (1) A computer program listing (see 37 CFR 1.96);
• (2) A sequence listing (submitted under 37 CFR 1.821); or
• (3) Any individual table (see 37 CFR 1.58), if the table is more than 50 pages in length, or if the total number of pages of all of the tables in an application exceeds 100 pages in length. A table page is a page printed on paper in conformance with 37 CFR 1.52(b) and 1.58(c).

The requirements of 37 CFR 1.52(e)(3)-(6) for documents submitted on compact disc are not applicable to computer program listings, sequence listings, and tables submitted as ASCII text files via EFS-Web. However, each text file must be in compliance with ASCII and have a file name with a “.txt” extension. Further, the specification must contain an incorporation-by-reference of the material in the ASCII text file in a separate paragraph identifying the name of the ASCII text file, the date of creation, and the size of the ASCII text file in bytes similar to the requirements of 37 CFR 1.52(e)(5) and 1.77(b)(5) for compact discs. See MPEP § 608.05.

It is recommended that a sequence listing be submitted in an ASCII text file via EFS-Web rather than in a PDF file. If a sequence listing ASCII text file submitted via EFS-Web on the application filing date complies with the requirements of 37 CFR 1.824(a)(2)-(6) and (b), and applicant has not filed a sequence listing in a PDF file (or on paper) on the same day, the text file will serve as both the paper copy required by 37 CFR 1.821(c) and the computer readable form (CRF) required by 37 CFR 1.821(e). Thus, the following are not required and should not be submitted: (1) a second copy of the sequence listing in a PDF file; (2) a statement under 37 CFR 1.821(f) (indicating that the paper copy and CRF copy of the sequence listing are identical); and (3) a request to use a compliant computer readable “Sequence Listing” that is already on file for another application pursuant to 37 CFR 1.821(e). If such a request is filed, the USPTO will not carry out the request but will use the sequence listing submitted in an ASCII text file on filing of the application via EFS-Web. Checker software that the applicant may use prior to submission to check a sequence listing for compliance with the requirements of 37 CFR 1.824 is available on the USPTO website at www.uspto.gov/patents-getting-started/patent-basics/ types-patent-applications/utility-patent/checker- version-446. The User Notes on the Checker website should be consulted for an explanation of errors that are not indicated, and content that is not verified, by the Checker software.

It is recommended that a sequence listing be submitted in an ASCII text file via EFS-Web rather than in a PDF file. If a sequence listing ASCII text file submitted via EFS-Web on the application filing date complies with the requirements of 37 CFR 1.824(a)(2)-(6) and (b), and applicant has not filed a sequence listing in a PDF file (or on paper) on the same day, the text file will serve as both the paper copy required by 37 CFR 1.821(c) and the computer readable form (CRF) required by 37 CFR 1.821(e). Thus, the following are not required and should not be submitted: (1) a second copy of the sequence listing in a PDF file; (2) a statement under 37 CFR 1.821(f) (indicating that the paper copy and CRF copy of the sequence listing are identical); and (3) a request to use a compliant computer readable “Sequence Listing” that is already on file for another application pursuant to 37 CFR 1.821(e). If such a request is filed, the USPTO will not carry out the request but will use the sequence listing submitted in an ASCII text file on filing of the application via EFS-Web. Checker software that the applicant may use prior to submission to check a sequence listing for compliance with the requirements of 37 CFR 1.824 is available on the USPTO website at www.uspto.gov/patents-getting-started/patent-basics/ types-patent-applications/utility-patent/checker- version-446. The User Notes on the Checker website should be consulted for an explanation of errors that are not indicated, and content that is not verified, by the Checker software.

It is recommended that a sequence listing be submitted in an ASCII text file via EFS-Web rather than in a PDF file. If a sequence listing ASCII text file submitted via EFS-Web on the application filing date complies with the requirements of 37 CFR 1.824(a)(2)-(6) and (b), and applicant has not filed a sequence listing in a PDF file (or on paper) on the same day, the text file will serve as both the paper copy required by 37 CFR 1.821(c) and the computer readable form (CRF) required by 37 CFR 1.821(e). Thus, the following are not required and should not be submitted: (1) a second copy of the sequence listing in a PDF file; (2) a statement under 37 CFR 1.821(f) (indicating that the paper copy and CRF copy of the sequence listing are identical); and (3) a request to use a compliant computer readable “Sequence Listing” that is already on file for another application pursuant to 37 CFR 1.821(e). If such a request is filed, the USPTO will not carry out the request but will use the sequence listing submitted in an ASCII text file on filing of the application via EFS-Web. Checker software that the applicant may use prior to submission to check a sequence listing for compliance with the requirements of 37 CFR 1.824 is available on the USPTO website at www.uspto.gov/patents-getting-started/patent-basics/ types-patent-applications/utility-patent/checker- version-446. The User Notes on the Checker website should be consulted for an explanation of errors that are not indicated, and content that is not verified, by the Checker software.

It is recommended that a sequence listing be submitted in an ASCII text file via EFS-Web rather than in a PDF file. If a sequence listing ASCII text file submitted via EFS-Web on the application filing date complies with the requirements of 37 CFR 1.824(a)(2)-(6) and (b), and applicant has not filed a sequence listing in a PDF file (or on paper) on the same day, the text file will serve as both the paper copy required by 37 CFR 1.821(c) and the computer readable form (CRF) required by 37 CFR 1.821(e). Thus, the following are not required and should not be submitted: (1) a second copy of the sequence listing in a PDF file; (2) a statement under 37 CFR 1.821(f) (indicating that the paper copy and CRF copy of the sequence listing are identical); and (3) a request to use a compliant computer readable “Sequence Listing” that is already on file for another application pursuant to 37 CFR 1.821(e). If such a request is filed, the USPTO will not carry out the request but will use the sequence listing submitted in an ASCII text file on filing of the application via EFS-Web. Checker software that the applicant may use prior to submission to check a sequence listing for compliance with the requirements of 37 CFR 1.824 is available on the USPTO website at www.uspto.gov/patents-getting-started/patent-basics/ types-patent-applications/utility-patent/checker- version-446. The User Notes on the Checker website should be consulted for an explanation of errors that are not indicated, and content that is not verified, by the Checker software.

It is recommended that a sequence listing be submitted in an ASCII text file via EFS-Web rather than in a PDF file. If a sequence listing ASCII text file submitted via EFS-Web on the application filing date complies with the requirements of 37 CFR 1.824(a)(2)-(6) and (b), and applicant has not filed a sequence listing in a PDF file (or on paper) on the same day, the text file will serve as both the paper copy required by 37 CFR 1.821(c) and the computer readable form (CRF) required by 37 CFR 1.821(e). Thus, the following are not required and should not be submitted: (1) a second copy of the sequence listing in a PDF file; (2) a statement under 37 CFR 1.821(f) (indicating that the paper copy and CRF copy of the sequence listing are identical); and (3) a request to use a compliant computer readable “Sequence Listing” that is already on file for another application pursuant to 37 CFR 1.821(e). If such a request is filed, the USPTO will not carry out the request but will use the sequence listing submitted in an ASCII text file on filing of the application via EFS-Web. Checker software that the applicant may use prior to submission to check a sequence listing for compliance with the requirements of 37 CFR 1.824 is available on the USPTO website at www.uspto.gov/patents-getting-started/patent-basics/ types-patent-applications/utility-patent/checker- version-446. The User Notes on the Checker website should be consulted for an explanation of errors that are not indicated, and content that is not verified, by the Checker software.

If a user submits a sequence listing (under 37 CFR 1.821(c) and (e)) as an ASCII text file via EFS-Web in response to a requirement under 37 CFR 1.821(g) or (h), the sequence listing text file must be accompanied by a statement that the submission does not include any new matter which goes beyond the disclosure of the application as filed. In addition, if a user submits an amendment to, or a replacement of, a sequence listing (under 37 CFR 1.821(c) and (e)) as an ASCII text file via EFS-Web, the sequence listing text file must be accompanied by: (1) a statement that the submission does not include any new matter, and (2) a statement that indicates support for the amendment in the application, as filed. See 37 CFR 1.825. The specification must be amended to contain an incorporation-by-reference statement of the sequence listing in both of these instances.

If a user submits a sequence listing (under 37 CFR 1.821(c) and (e)) as an ASCII text file via EFS-Web in response to a requirement under 37 CFR 1.821(g) or (h), the sequence listing text file must be accompanied by a statement that the submission does not include any new matter which goes beyond the disclosure of the application as filed. In addition, if a user submits an amendment to, or a replacement of, a sequence listing (under 37 CFR 1.821(c) and (e)) as an ASCII text file via EFS-Web, the sequence listing text file must be accompanied by: (1) a statement that the submission does not include any new matter, and (2) a statement that indicates support for the amendment in the application, as filed. See 37 CFR 1.825. The specification must be amended to contain an incorporation-by-reference statement of the sequence listing in both of these instances.

Submission of the sequence listing in a PDF file on the application filing date is not recommended. Applicant must still provide the CRF text file required by 37 CFR 1.821(e), and the sequence listing in the PDF file will not be excluded when determining the application size fee. The USPTO prefers the submission of a sequence listing in an ASCII text file via EFS-Web on the application filing date because as previously stated, if applicant has not filed a second copy of the sequence listing in a PDF file (or on paper) on the same day, the text file will serve as both the paper copy required by 37 CFR 1.821(c) and the CRF required by 37 CFR 1.821(e). Any sequence listing submitted in PDF format (or on paper) on the application filing date is treated as the paper copy required by 37 CFR 1.821(c). If applicant submits a sequence listing in both a PDF file and an ASCII text file via EFS-Web on the application filing date, a statement that the sequence listing content of the PDF copy and the ASCII text file copy are identical is required. In situations where applicant files the sequence listing in PDF format and requests the use of the CRF of another application under 37 CFR 1.821(e), applicant must submit a letter and request in compliance with 37 CFR 1.821(e) and a statement that the PDF copy filed in the new application is identical to the CRF filed in the other application.

Submission of the sequence listing in a PDF file on the application filing date is not recommended. Applicant must still provide the CRF text file required by 37 CFR 1.821(e), and the sequence listing in the PDF file will not be excluded when determining the application size fee. The USPTO prefers the submission of a sequence listing in an ASCII text file via EFS-Web on the application filing date because as previously stated, if applicant has not filed a second copy of the sequence listing in a PDF file (or on paper) on the same day, the text file will serve as both the paper copy required by 37 CFR 1.821(c) and the CRF required by 37 CFR 1.821(e). Any sequence listing submitted in PDF format (or on paper) on the application filing date is treated as the paper copy required by 37 CFR 1.821(c). If applicant submits a sequence listing in both a PDF file and an ASCII text file via EFS-Web on the application filing date, a statement that the sequence listing content of the PDF copy and the ASCII text file copy are identical is required. In situations where applicant files the sequence listing in PDF format and requests the use of the CRF of another application under 37 CFR 1.821(e), applicant must submit a letter and request in compliance with 37 CFR 1.821(e) and a statement that the PDF copy filed in the new application is identical to the CRF filed in the other application.

Submission of the sequence listing in a PDF file on the application filing date is not recommended. Applicant must still provide the CRF text file required by 37 CFR 1.821(e), and the sequence listing in the PDF file will not be excluded when determining the application size fee. The USPTO prefers the submission of a sequence listing in an ASCII text file via EFS-Web on the application filing date because as previously stated, if applicant has not filed a second copy of the sequence listing in a PDF file (or on paper) on the same day, the text file will serve as both the paper copy required by 37 CFR 1.821(c) and the CRF required by 37 CFR 1.821(e). Any sequence listing submitted in PDF format (or on paper) on the application filing date is treated as the paper copy required by 37 CFR 1.821(c). If applicant submits a sequence listing in both a PDF file and an ASCII text file via EFS-Web on the application filing date, a statement that the sequence listing content of the PDF copy and the ASCII text file copy are identical is required. In situations where applicant files the sequence listing in PDF format and requests the use of the CRF of another application under 37 CFR 1.821(e), applicant must submit a letter and request in compliance with 37 CFR 1.821(e) and a statement that the PDF copy filed in the new application is identical to the CRF filed in the other application.

Submission of the sequence listing in a PDF file on the application filing date is not recommended. Applicant must still provide the CRF text file required by 37 CFR 1.821(e), and the sequence listing in the PDF file will not be excluded when determining the application size fee. The USPTO prefers the submission of a sequence listing in an ASCII text file via EFS-Web on the application filing date because as previously stated, if applicant has not filed a second copy of the sequence listing in a PDF file (or on paper) on the same day, the text file will serve as both the paper copy required by 37 CFR 1.821(c) and the CRF required by 37 CFR 1.821(e). Any sequence listing submitted in PDF format (or on paper) on the application filing date is treated as the paper copy required by 37 CFR 1.821(c). If applicant submits a sequence listing in both a PDF file and an ASCII text file via EFS-Web on the application filing date, a statement that the sequence listing content of the PDF copy and the ASCII text file copy are identical is required. In situations where applicant files the sequence listing in PDF format and requests the use of the CRF of another application under 37 CFR 1.821(e), applicant must submit a letter and request in compliance with 37 CFR 1.821(e) and a statement that the PDF copy filed in the new application is identical to the CRF filed in the other application.

Submission of the sequence listing in a PDF file on the application filing date is not recommended. Applicant must still provide the CRF text file required by 37 CFR 1.821(e), and the sequence listing in the PDF file will not be excluded when determining the application size fee. The USPTO prefers the submission of a sequence listing in an ASCII text file via EFS-Web on the application filing date because as previously stated, if applicant has not filed a second copy of the sequence listing in a PDF file (or on paper) on the same day, the text file will serve as both the paper copy required by 37 CFR 1.821(c) and the CRF required by 37 CFR 1.821(e). Any sequence listing submitted in PDF format (or on paper) on the application filing date is treated as the paper copy required by 37 CFR 1.821(c). If applicant submits a sequence listing in both a PDF file and an ASCII text file via EFS-Web on the application filing date, a statement that the sequence listing content of the PDF copy and the ASCII text file copy are identical is required. In situations where applicant files the sequence listing in PDF format and requests the use of the CRF of another application under 37 CFR 1.821(e), applicant must submit a letter and request in compliance with 37 CFR 1.821(e) and a statement that the PDF copy filed in the new application is identical to the CRF filed in the other application.

Submission of the sequence listing in a PDF file on the application filing date is not recommended. Applicant must still provide the CRF text file required by 37 CFR 1.821(e), and the sequence listing in the PDF file will not be excluded when determining the application size fee. The USPTO prefers the submission of a sequence listing in an ASCII text file via EFS-Web on the application filing date because as previously stated, if applicant has not filed a second copy of the sequence listing in a PDF file (or on paper) on the same day, the text file will serve as both the paper copy required by 37 CFR 1.821(c) and the CRF required by 37 CFR 1.821(e). Any sequence listing submitted in PDF format (or on paper) on the application filing date is treated as the paper copy required by 37 CFR 1.821(c). If applicant submits a sequence listing in both a PDF file and an ASCII text file via EFS-Web on the application filing date, a statement that the sequence listing content of the PDF copy and the ASCII text file copy are identical is required. In situations where applicant files the sequence listing in PDF format and requests the use of the CRF of another application under 37 CFR 1.821(e), applicant must submit a letter and request in compliance with 37 CFR 1.821(e) and a statement that the PDF copy filed in the new application is identical to the CRF filed in the other application.

One hundred (100) megabytes is the size limit for sequence listing text files submitted via EFS-Web. If a user wishes to submit an electronic copy of a sequence listing text file that exceeds 100 megabytes, it is recommended that the user file the application without the sequence listing using EFS-Web to obtain the application number and confirmation number, and then file the sequence listing text file on compact disc in accordance with 37 CFR 1.52(e) on the same day by using Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10, or by hand delivery, in order to secure the same filing date for all parts of the application. Note: a submission of a sequence listing in electronic form of 300 MB or more in size is subject to the fee set forth in 37 CFR 1.21(o). Alternatively, a user may submit the application on paper and include the electronic copy of the sequence listing text file on compact disc in accordance with 37 CFR 1.52(e). Sequence listing text files may not be partitioned into multiple files for filing via EFS-Web as the EFS-Web system is not currently capable of handling such submissions. The sequence listing must be in a single ASCII plain text file. A sequence listing ASCII plain text file that does not fit on a single compact disc may be split into multiple file parts for subsequent reassembly of the single ASCII plain text file using software designed for that purpose. If the sequence listing is submitted on multiple compact discs, the compact discs must be labeled to indicate their order (e.g., “1 of X”, “2 of X”).

One hundred (100) megabytes is the size limit for sequence listing text files submitted via EFS-Web. If a user wishes to submit an electronic copy of a sequence listing text file that exceeds 100 megabytes, it is recommended that the user file the application without the sequence listing using EFS-Web to obtain the application number and confirmation number, and then file the sequence listing text file on compact disc in accordance with 37 CFR 1.52(e) on the same day by using Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10, or by hand delivery, in order to secure the same filing date for all parts of the application. Note: a submission of a sequence listing in electronic form of 300 MB or more in size is subject to the fee set forth in 37 CFR 1.21(o). Alternatively, a user may submit the application on paper and include the electronic copy of the sequence listing text file on compact disc in accordance with 37 CFR 1.52(e). Sequence listing text files may not be partitioned into multiple files for filing via EFS-Web as the EFS-Web system is not currently capable of handling such submissions. The sequence listing must be in a single ASCII plain text file. A sequence listing ASCII plain text file that does not fit on a single compact disc may be split into multiple file parts for subsequent reassembly of the single ASCII plain text file using software designed for that purpose. If the sequence listing is submitted on multiple compact discs, the compact discs must be labeled to indicate their order (e.g., “1 of X”, “2 of X”).

One hundred (100) megabytes is the size limit for sequence listing text files submitted via EFS-Web. If a user wishes to submit an electronic copy of a sequence listing text file that exceeds 100 megabytes, it is recommended that the user file the application without the sequence listing using EFS-Web to obtain the application number and confirmation number, and then file the sequence listing text file on compact disc in accordance with 37 CFR 1.52(e) on the same day by using Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10, or by hand delivery, in order to secure the same filing date for all parts of the application. Note: a submission of a sequence listing in electronic form of 300 MB or more in size is subject to the fee set forth in 37 CFR 1.21(o). Alternatively, a user may submit the application on paper and include the electronic copy of the sequence listing text file on compact disc in accordance with 37 CFR 1.52(e). Sequence listing text files may not be partitioned into multiple files for filing via EFS-Web as the EFS-Web system is not currently capable of handling such submissions. The sequence listing must be in a single ASCII plain text file. A sequence listing ASCII plain text file that does not fit on a single compact disc may be split into multiple file parts for subsequent reassembly of the single ASCII plain text file using software designed for that purpose. If the sequence listing is submitted on multiple compact discs, the compact discs must be labeled to indicate their order (e.g., “1 of X”, “2 of X”).

One hundred (100) megabytes is the size limit for sequence listing text files submitted via EFS-Web. If a user wishes to submit an electronic copy of a sequence listing text file that exceeds 100 megabytes, it is recommended that the user file the application without the sequence listing using EFS-Web to obtain the application number and confirmation number, and then file the sequence listing text file on compact disc in accordance with 37 CFR 1.52(e) on the same day by using Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10, or by hand delivery, in order to secure the same filing date for all parts of the application. Note: a submission of a sequence listing in electronic form of 300 MB or more in size is subject to the fee set forth in 37 CFR 1.21(o). Alternatively, a user may submit the application on paper and include the electronic copy of the sequence listing text file on compact disc in accordance with 37 CFR 1.52(e). Sequence listing text files may not be partitioned into multiple files for filing via EFS-Web as the EFS-Web system is not currently capable of handling such submissions. The sequence listing must be in a single ASCII plain text file. A sequence listing ASCII plain text file that does not fit on a single compact disc may be split into multiple file parts for subsequent reassembly of the single ASCII plain text file using software designed for that purpose. If the sequence listing is submitted on multiple compact discs, the compact discs must be labeled to indicate their order (e.g., “1 of X”, “2 of X”).

One hundred (100) megabytes is the size limit for sequence listing text files submitted via EFS-Web. If a user wishes to submit an electronic copy of a sequence listing text file that exceeds 100 megabytes, it is recommended that the user file the application without the sequence listing using EFS-Web to obtain the application number and confirmation number, and then file the sequence listing text file on compact disc in accordance with 37 CFR 1.52(e) on the same day by using Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10, or by hand delivery, in order to secure the same filing date for all parts of the application. Note: a submission of a sequence listing in electronic form of 300 MB or more in size is subject to the fee set forth in 37 CFR 1.21(o). Alternatively, a user may submit the application on paper and include the electronic copy of the sequence listing text file on compact disc in accordance with 37 CFR 1.52(e). Sequence listing text files may not be partitioned into multiple files for filing via EFS-Web as the EFS-Web system is not currently capable of handling such submissions. The sequence listing must be in a single ASCII plain text file. A sequence listing ASCII plain text file that does not fit on a single compact disc may be split into multiple file parts for subsequent reassembly of the single ASCII plain text file using software designed for that purpose. If the sequence listing is submitted on multiple compact discs, the compact discs must be labeled to indicate their order (e.g., “1 of X”, “2 of X”).

One hundred (100) megabytes is the size limit for sequence listing text files submitted via EFS-Web. If a user wishes to submit an electronic copy of a sequence listing text file that exceeds 100 megabytes, it is recommended that the user file the application without the sequence listing using EFS-Web to obtain the application number and confirmation number, and then file the sequence listing text file on compact disc in accordance with 37 CFR 1.52(e) on the same day by using Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10, or by hand delivery, in order to secure the same filing date for all parts of the application. Note: a submission of a sequence listing in electronic form of 300 MB or more in size is subject to the fee set forth in 37 CFR 1.21(o). Alternatively, a user may submit the application on paper and include the electronic copy of the sequence listing text file on compact disc in accordance with 37 CFR 1.52(e). Sequence listing text files may not be partitioned into multiple files for filing via EFS-Web as the EFS-Web system is not currently capable of handling such submissions. The sequence listing must be in a single ASCII plain text file. A sequence listing ASCII plain text file that does not fit on a single compact disc may be split into multiple file parts for subsequent reassembly of the single ASCII plain text file using software designed for that purpose. If the sequence listing is submitted on multiple compact discs, the compact discs must be labeled to indicate their order (e.g., “1 of X”, “2 of X”).

One hundred (100) megabytes is the size limit for sequence listing text files submitted via EFS-Web. Sequence listing text files must not be partitioned into multiple files for filing via EFS-Web as the EFS-Web electronic filing system is not currently capable of handling such submissions. For all other file types EFS-Web is currently not capable of accepting files that are larger than 25 megabytes. Additionally, a single EFS-Web submission may include no more than 60 electronic files. Note that, regarding the limit of 60 files, an applicant may upload and validate in sets of up to 20 files each, with a limit of three sets of 20. If applicant chooses to divide a file into multiple parts using the multi-doc feature, each part is counted as one file. The need to submit unusually large sequence listings and/or numerous electronic files may prevent applicant from making a complete international application (PCT) filing in a single EFS-Web submission. Registered EFS-Web users may file part of the international application (PCT) to obtain the international application (PCT) number and the confirmation number, and then file the remainder of the international application (PCT) on the same day as one or more follow-on submissions using EFS-Web, in order to secure the same filing date for all parts of the international application (PCT).

Registered users may sign into EFS-Web and provide information in web-based interfaces. An ePetition, request, or eTerminal Disclaimer document (PDF) is generated by EFS-Web based on the information entered into EFS-Web. This document may be reviewed prior to submission to ensure accuracy. This document and a decision granting the ePetition or request, or an approval letter approving of the eTerminal Disclaimer, will be loaded into the electronic application file (i.e., IFW), if the ePetition or request is granted, or if the eTerminal Disclaimer is approved. If the ePetition, request, or eTerminal Disclaimer does not meet all of the formal requirements, it will not be accepted for submission and loaded into the electronic application file (i.e., IFW).

Registered users may sign into EFS-Web and provide information in web-based interfaces. An ePetition, request, or eTerminal Disclaimer document (PDF) is generated by EFS-Web based on the information entered into EFS-Web. This document may be reviewed prior to submission to ensure accuracy. This document and a decision granting the ePetition or request, or an approval letter approving of the eTerminal Disclaimer, will be loaded into the electronic application file (i.e., IFW), if the ePetition or request is granted, or if the eTerminal Disclaimer is approved. If the ePetition, request, or eTerminal Disclaimer does not meet all of the formal requirements, it will not be accepted for submission and loaded into the electronic application file (i.e., IFW).

Registered users may sign into EFS-Web and provide information in web-based interfaces. An ePetition, request, or eTerminal Disclaimer document (PDF) is generated by EFS-Web based on the information entered into EFS-Web. This document may be reviewed prior to submission to ensure accuracy. This document and a decision granting the ePetition or request, or an approval letter approving of the eTerminal Disclaimer, will be loaded into the electronic application file (i.e., IFW), if the ePetition or request is granted, or if the eTerminal Disclaimer is approved. If the ePetition, request, or eTerminal Disclaimer does not meet all of the formal requirements, it will not be accepted for submission and loaded into the electronic application file (i.e., IFW).

Registered users may sign into EFS-Web and provide information in web-based interfaces. An ePetition, request, or eTerminal Disclaimer document (PDF) is generated by EFS-Web based on the information entered into EFS-Web. This document may be reviewed prior to submission to ensure accuracy. This document and a decision granting the ePetition or request, or an approval letter approving of the eTerminal Disclaimer, will be loaded into the electronic application file (i.e., IFW), if the ePetition or request is granted, or if the eTerminal Disclaimer is approved. If the ePetition, request, or eTerminal Disclaimer does not meet all of the formal requirements, it will not be accepted for submission and loaded into the electronic application file (i.e., IFW).

Inventors, applicants, and patent practitioners; i.e., patent attorneys and agents registered to practice before the USPTO, may obtain credentials to access the Patent Electronic System. No other person may access the Patent Electronic System unless they are sponsored by a patent practitioner. A patent practitioner may sponsor other individuals to access the Patent Electronic System so as to access information and file documents on behalf of that patent practitioner. Such sponsorship is limited to those individuals acting under the direction and control of that practitioner. The sponsoring practitioner will be responsible for the actions of each sponsored individual. Sponsorship is further limited to those individuals performing the role of support staff to the practitioner through an employment agreement, including contractual agreements.

Inventors, applicants, and patent practitioners; i.e., patent attorneys and agents registered to practice before the USPTO, may obtain credentials to access the Patent Electronic System. No other person may access the Patent Electronic System unless they are sponsored by a patent practitioner. A patent practitioner may sponsor other individuals to access the Patent Electronic System so as to access information and file documents on behalf of that patent practitioner. Such sponsorship is limited to those individuals acting under the direction and control of that practitioner. The sponsoring practitioner will be responsible for the actions of each sponsored individual. Sponsorship is further limited to those individuals performing the role of support staff to the practitioner through an employment agreement, including contractual agreements.

Inventors, applicants, and patent practitioners; i.e., patent attorneys and agents registered to practice before the USPTO, may obtain credentials to access the Patent Electronic System. No other person may access the Patent Electronic System unless they are sponsored by a patent practitioner. A patent practitioner may sponsor other individuals to access the Patent Electronic System so as to access information and file documents on behalf of that patent practitioner. Such sponsorship is limited to those individuals acting under the direction and control of that practitioner. The sponsoring practitioner will be responsible for the actions of each sponsored individual. Sponsorship is further limited to those individuals performing the role of support staff to the practitioner through an employment agreement, including contractual agreements.

Registered users are permitted to access and file via EFS-WEb follow-on documents in applications in which they are acting on behalf of the applicant, and in reexamination and supplemental examination proceedings in which they are acting on behalf of the owner. Note that pursuant to 37 CFR 1.31 juristic entity applicants must be represented by a patent practitioner.

A Patent Electronic System account holder may only use the account for applications for which the account holder is authorized to access; unauthorized use, such as attempting or gaining access to nonpublic information or inadvertently disclosed nonpublic information, may lead to immediate revocation of the Patent Electronic System Account. A Patent Electronic System account holder may only use the account for securing communication with the USPTO, and may not encourage or permit others to use or rely on their Patent Electronic System account log-in credentials.

A Patent Electronic System account holder may only use the account for applications for which the account holder is authorized to access; unauthorized use, such as attempting or gaining access to nonpublic information or inadvertently disclosed nonpublic information, may lead to immediate revocation of the Patent Electronic System Account. A Patent Electronic System account holder may only use the account for securing communication with the USPTO, and may not encourage or permit others to use or rely on their Patent Electronic System account log-in credentials.

A Patent Electronic System subscriber who is a practitioner may grant sponsorship to a reasonable number of practitioner support individuals to work on their behalf under their direction and control. A sponsoring practitioner must take reasonable steps to ensure that the access of each sponsored practitioner support individual is consistent with the tasks assigned to that individual. Such reasonable steps include removing sponsorship where appropriate, including where the individual leaves the practitioner’s organization or the contractor’s organization or when the contractor is no longer under contract to the practitioner or the practitioner’s organization.

A practitioner may only sponsor support staff individuals and may not sponsor any other individuals or organizations including a company, a group, a client, a practitioner (see 37 CFR 11.1), or an invention promoter (see 37 CFR 4.2(a)), to become users of the Patent Electronic System. A sponsoring practitioner is responsible for verifying the identity of any person who is sponsored as stated in the Patent Electronic System Access Document. A sponsoring practitioner may only sponsor a reasonable number of practitioner support individuals to work under their direction for whom he/she can maintain proper control.

A sponsoring practitioner must take reasonable steps to ensure compliance by each sponsored practitioner support person with the requirements set forth in the subscriber agreement, including the restrictions on the software use in section 6 and the restrictions on the export (including deemed export) of technology and software included in patent applications in section 7. If a sponsored practitioner support person is not a U.S. citizen, their access to the technology and software constitutes an export.

A sponsored practitioner support person’s access to the Patent Electronic System may not extend beyond those duties performed under the direction and control of a sponsoring practitioner.

A sponsored practitioner support person may only use their Patent Electronic System account to access, in an authorized support capacity, customer numbers and application information associated with their Patent Electronic System profile in accordance with the laws, regulations, and policies of the USPTO including this Legal Framework. A sponsored practitioner support person may only use or rely on their Patent Electronic System accounts for communication with the USPTO in compliance with the laws, regulations, and policies of the USPTO.

Specifically, EFS-Web Contingency Option only permits users to electronically file the following items:

• (1) Provisional patent applications filed under 35 U.S.C. 111(b);
• (2) Nonprovisional utility patent applications filed under 35 U.S.C. 111(a);
• (3) Nonprovisional design patent applications (see 35 U.S.C. 171) filed under 35 U.S.C. 111(a);
• (4) International applications filed under the PCT in the United States Receiving Office (see 35 U.S.C. 361);
• (5) Submissions to enter the national stage under 35 U.S.C. 371;
• (6) International design applications filed under the Geneva Act of the Hague Agreement Concerning the International Registration of Industrial Designs (see 35 U.S.C. 382);
• (7) Requests for ex parte reexamination under 35 U.S.C. 302 for utility or design patents;
• (8) Requests for supplemental examination under 35 U.S.C. 257 for utility, design, or plant patents;
• (9) Petitions to make special based on age under 37 CFR 1.102(c) when filed as an ePetition (for more information see www.uspto.gov/patents-application-process/ applying-online/epetition-resource-page);
• (10) Petitions to accept an unintentionally delayed payment of maintenance fee under 37 CFR 1.378(b) when filed as an ePetition, for the automatic processing of the ePetition (for more information see www.uspto.gov/patents-application-process/ applying-online/epetition-resource-page);
• (11) Petition to make special under the accelerated examination program (must be filed with a nonprovisional utility patent application under 35 U.S.C. 111(a));
• (12) Reissue utility patent applications and reissue design patent applications;
• (13) Third-Party Preissuance Submissions under 35 U.S.C. 122(e) and 37 CFR 1.290 for utility, design, or plant patent applications using a dedicated EFS-Web interface wherein the information is not directly placed into the application. See subsection I, below; and
• (14) Citation of prior art and written statements in patent files under 37 CFR 1.501 for utility applications using a dedicated EFS-Web interface, where the information is not directly placed into the patent file. See subsection I, below.

EFS-Web permits users to submit zip files created by PCT-SAFE or ePCT. A zip file created using PCT-SAFE or ePCT will contain the PCT Request and a fee calculation sheet in PDF format, which are converted to TIFF images and loaded into the image file wrapper by the USPTO. PCT-SAFE and ePCT users may create and electronically sign using an S-signature the PCT Request, including the Declaration of Inventorship, for the purposes of filing via EFS-Web with the United States Receiving Office. PCT-SAFE and ePCT users may create a.zip file containing a validated PCT Request which will entitle the applicant to a reduction of the international filing fee when the PCT-SAFE or ePCT zip file is included in a new international application (PCT) filed with the United States Receiving Office via EFS-Web. See Use of WIPO's ePCT System for Preparing the PCT Request for Filing as Part of an International Application With the USPTO as Receiving Office, 81 FR 27417 (May 6, 2016). Alternatively, if the applicant chooses not to use PCT-SAFE or ePCT to create the PCT Request and fee calculation sheet, the applicant may use Form PCT/RO/101 (or equivalent) for the Request and attach the PDF file to the EFS-Web submission.

EFS-Web permits users to submit zip files created by PCT-SAFE or ePCT. A zip file created using PCT-SAFE or ePCT will contain the PCT Request and a fee calculation sheet in PDF format, which are converted to TIFF images and loaded into the image file wrapper by the USPTO. PCT-SAFE and ePCT users may create and electronically sign using an S-signature the PCT Request, including the Declaration of Inventorship, for the purposes of filing via EFS-Web with the United States Receiving Office. PCT-SAFE and ePCT users may create a.zip file containing a validated PCT Request which will entitle the applicant to a reduction of the international filing fee when the PCT-SAFE or ePCT zip file is included in a new international application (PCT) filed with the United States Receiving Office via EFS-Web. See Use of WIPO's ePCT System for Preparing the PCT Request for Filing as Part of an International Application With the USPTO as Receiving Office, 81 FR 27417 (May 6, 2016). Alternatively, if the applicant chooses not to use PCT-SAFE or ePCT to create the PCT Request and fee calculation sheet, the applicant may use Form PCT/RO/101 (or equivalent) for the Request and attach the PDF file to the EFS-Web submission.

Under PCT Rule 5.2(a), the sequence listing must always be presented as a separate part of the description. When filing an international application (PCT) using EFS-Web, the sequence listing part of the description may be submitted either as a single ASCII text file with a “.txt” extension (e.g., “seqlist.txt”) or as a PDF file. Note that 100 megabytes is the size limit for submitting a sequence listing text file via EFS-Web. If the sequence listing is submitted as an ASCII text file, applicant need not and should not submit any additional copies. The single ASCII text file is preferred because the ASCII text file will serve both as the sequence listing part of the description under PCT Rule 5.2 and the electronic form under PCT Rule 13ter.1(a) in the absence of a PDF sequence listing file. The check list of the PCT Request provided via EFS-Web together with the international application (PCT) must indicate that the sequence listing forms part of the international application. Furthermore, the statement as set forth in paragraph 4(v) of Annex C (Administrative Instructions under the PCT, AI Annex C), that “the information recorded in electronic form furnished under Rule 13ter is identical to the sequence listing as contained in the international application,” is not required. Also the sequence listing in an ASCII text file will not be taken into account when calculating the application sheet count, i.e., no excess sheet fee will be required for the sequence listing text file.

Under PCT Rule 5.2(a), the sequence listing must always be presented as a separate part of the description. When filing an international application (PCT) using EFS-Web, the sequence listing part of the description may be submitted either as a single ASCII text file with a “.txt” extension (e.g., “seqlist.txt”) or as a PDF file. Note that 100 megabytes is the size limit for submitting a sequence listing text file via EFS-Web. If the sequence listing is submitted as an ASCII text file, applicant need not and should not submit any additional copies. The single ASCII text file is preferred because the ASCII text file will serve both as the sequence listing part of the description under PCT Rule 5.2 and the electronic form under PCT Rule 13ter.1(a) in the absence of a PDF sequence listing file. The check list of the PCT Request provided via EFS-Web together with the international application (PCT) must indicate that the sequence listing forms part of the international application. Furthermore, the statement as set forth in paragraph 4(v) of Annex C (Administrative Instructions under the PCT, AI Annex C), that “the information recorded in electronic form furnished under Rule 13ter is identical to the sequence listing as contained in the international application,” is not required. Also the sequence listing in an ASCII text file will not be taken into account when calculating the application sheet count, i.e., no excess sheet fee will be required for the sequence listing text file.

Under PCT Rule 5.2(a), the sequence listing must always be presented as a separate part of the description. When filing an international application (PCT) using EFS-Web, the sequence listing part of the description may be submitted either as a single ASCII text file with a “.txt” extension (e.g., “seqlist.txt”) or as a PDF file. Note that 100 megabytes is the size limit for submitting a sequence listing text file via EFS-Web. If the sequence listing is submitted as an ASCII text file, applicant need not and should not submit any additional copies. The single ASCII text file is preferred because the ASCII text file will serve both as the sequence listing part of the description under PCT Rule 5.2 and the electronic form under PCT Rule 13ter.1(a) in the absence of a PDF sequence listing file. The check list of the PCT Request provided via EFS-Web together with the international application (PCT) must indicate that the sequence listing forms part of the international application. Furthermore, the statement as set forth in paragraph 4(v) of Annex C (Administrative Instructions under the PCT, AI Annex C), that “the information recorded in electronic form furnished under Rule 13ter is identical to the sequence listing as contained in the international application,” is not required. Also the sequence listing in an ASCII text file will not be taken into account when calculating the application sheet count, i.e., no excess sheet fee will be required for the sequence listing text file.

Submission of the sequence listing part of the description in a PDF file is not recommended because the applicant would also be required to supply a copy of the sequence listing in an ASCII text file to the appropriate authority for purposes of international search and/or international preliminary examination in accordance with paragraph 40 of AI Annex C. When a sequence listing is filed via EFS-Web in a new international application (PCT) in both a PDF file and an ASCII text file, but the Request form Box No. IX does not indicate which one forms part of the international application, the PDF copy of the sequence listing will be considered to form part of the application and the ASCII text file will be considered an accompanying item for search purposes under PCT Rule 13ter.1(a) only. The pages of the PDF file that contain the sequence listing will be taken into account when calculating the application sheet count, i.e., excess sheet fees may be required for the PDF file.

Submission of the sequence listing part of the description in a PDF file is not recommended because the applicant would also be required to supply a copy of the sequence listing in an ASCII text file to the appropriate authority for purposes of international search and/or international preliminary examination in accordance with paragraph 40 of AI Annex C. When a sequence listing is filed via EFS-Web in a new international application (PCT) in both a PDF file and an ASCII text file, but the Request form Box No. IX does not indicate which one forms part of the international application, the PDF copy of the sequence listing will be considered to form part of the application and the ASCII text file will be considered an accompanying item for search purposes under PCT Rule 13ter.1(a) only. The pages of the PDF file that contain the sequence listing will be taken into account when calculating the application sheet count, i.e., excess sheet fees may be required for the PDF file.

One hundred (100) megabytes is the size limit for sequence listing text files submitted via EFS-Web. Sequence listing text files must not be partitioned into multiple files for filing via EFS-Web as the EFS-Web electronic filing system is not currently capable of handling such submissions. For all other file types EFS-Web is currently not capable of accepting files that are larger than 25 megabytes. Additionally, a single EFS-Web submission may include no more than 60 electronic files. Note that, regarding the limit of 60 files, an applicant may upload and validate in sets of up to 20 files each, with a limit of three sets of 20. If applicant chooses to divide a file into multiple parts using the multi-doc feature, each part is counted as one file. The need to submit unusually large sequence listings and/or numerous electronic files may prevent applicant from making a complete international application (PCT) filing in a single EFS-Web submission. Registered EFS-Web users may file part of the international application (PCT) to obtain the international application (PCT) number and the confirmation number, and then file the remainder of the international application (PCT) on the same day as one or more follow-on submissions using EFS-Web, in order to secure the same filing date for all parts of the international application (PCT).

One hundred (100) megabytes is the size limit for sequence listing text files submitted via EFS-Web. Sequence listing text files must not be partitioned into multiple files for filing via EFS-Web as the EFS-Web electronic filing system is not currently capable of handling such submissions. For all other file types EFS-Web is currently not capable of accepting files that are larger than 25 megabytes. Additionally, a single EFS-Web submission may include no more than 60 electronic files. Note that, regarding the limit of 60 files, an applicant may upload and validate in sets of up to 20 files each, with a limit of three sets of 20. If applicant chooses to divide a file into multiple parts using the multi-doc feature, each part is counted as one file. The need to submit unusually large sequence listings and/or numerous electronic files may prevent applicant from making a complete international application (PCT) filing in a single EFS-Web submission. Registered EFS-Web users may file part of the international application (PCT) to obtain the international application (PCT) number and the confirmation number, and then file the remainder of the international application (PCT) on the same day as one or more follow-on submissions using EFS-Web, in order to secure the same filing date for all parts of the international application (PCT).

In the situation where applicant needs to file a sequence listing that is over one hundred (100) megabytes, applicant may use EFS-Web to file the international application (PCT) without the sequence listing to obtain the international application (PCT) number and the confirmation number, and then file the sequence listing on compact discs on the same day by using Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10, or by hand delivery, in order to secure the same filing date for all parts of the international application (PCT). However, Priority Mail Express ® from the USPS and hand delivered submissions must not contain PDF files and must fully comply with the guidelines for filing a sequence listing on electronic media as set forth in MPEP § 2422.03(a), subsection IV. The check list of the PCT Request provided via EFS-Web together with the international application (PCT) should indicate that the sequence listing part of the description will be filed separately on physical data carrier(s), on the same day and in the form of an Annex C/ST.25 text file. The sequence listing must be in a single ASCII plain text file. Where a sequence listing ASCII plain text file does not fit on a single compact disc software may be may used to prepare multiple concatenated file parts for submission on multiple compact discs. If the sequence listing is submitted on multiple compact discs, the compact discs must be labeled to indicate their order (e.g., “1 of X”, “2 of X”). This allows the multiple parts to automatically join and form the single ASCII plain text file when the properly labeled multiple compact discs are subsequently processed by the USPTO.

In the situation where applicant needs to file a sequence listing that is over one hundred (100) megabytes, applicant may use EFS-Web to file the international application (PCT) without the sequence listing to obtain the international application (PCT) number and the confirmation number, and then file the sequence listing on compact discs on the same day by using Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10, or by hand delivery, in order to secure the same filing date for all parts of the international application (PCT). However, Priority Mail Express ® from the USPS and hand delivered submissions must not contain PDF files and must fully comply with the guidelines for filing a sequence listing on electronic media as set forth in MPEP § 2422.03(a), subsection IV. The check list of the PCT Request provided via EFS-Web together with the international application (PCT) should indicate that the sequence listing part of the description will be filed separately on physical data carrier(s), on the same day and in the form of an Annex C/ST.25 text file. The sequence listing must be in a single ASCII plain text file. Where a sequence listing ASCII plain text file does not fit on a single compact disc software may be may used to prepare multiple concatenated file parts for submission on multiple compact discs. If the sequence listing is submitted on multiple compact discs, the compact discs must be labeled to indicate their order (e.g., “1 of X”, “2 of X”). This allows the multiple parts to automatically join and form the single ASCII plain text file when the properly labeled multiple compact discs are subsequently processed by the USPTO.

In the situation where applicant needs to file a sequence listing that is over one hundred (100) megabytes, applicant may use EFS-Web to file the international application (PCT) without the sequence listing to obtain the international application (PCT) number and the confirmation number, and then file the sequence listing on compact discs on the same day by using Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10, or by hand delivery, in order to secure the same filing date for all parts of the international application (PCT). However, Priority Mail Express ® from the USPS and hand delivered submissions must not contain PDF files and must fully comply with the guidelines for filing a sequence listing on electronic media as set forth in MPEP § 2422.03(a), subsection IV. The check list of the PCT Request provided via EFS-Web together with the international application (PCT) should indicate that the sequence listing part of the description will be filed separately on physical data carrier(s), on the same day and in the form of an Annex C/ST.25 text file. The sequence listing must be in a single ASCII plain text file. Where a sequence listing ASCII plain text file does not fit on a single compact disc software may be may used to prepare multiple concatenated file parts for submission on multiple compact discs. If the sequence listing is submitted on multiple compact discs, the compact discs must be labeled to indicate their order (e.g., “1 of X”, “2 of X”). This allows the multiple parts to automatically join and form the single ASCII plain text file when the properly labeled multiple compact discs are subsequently processed by the USPTO.

Tables related to a sequence listing must be an integral part of the description of the international application (PCT), and must not be included in the sequence listing part or the drawing part. Such tables will be taken into account when calculating the application sheet count, and excess sheet fees may be required. When applicant submits tables related to a sequence listing in an international application (PCT) via EFS-Web, the tables must be in a PDF file. If applicant submits tables related to a sequence listing in a text file, such tables will not be accepted as part of the international application (PCT). For more information, see Sequence Listings and Tables Related Thereto in International Applications Filed in the United States Receiving Office, 1344 Off. Gaz. Pat. Office 50 (July 7, 2009).

As previously noted, a sequence listing in an ASCII text file, as well as additional PDF files, may be submitted in one or more follow-on submissions via EFS-Web. Such follow-on submissions will form part of the international application (PCT) if filed on the same date on which the international application (PCT) was filed. Note that follow-on submissions of PDF files (including, but not limited to, PDF sequence listings) may change the number of pages in the international application (PCT) and therefore may affect the international filing fee.

The following is a list of submission types that are not permitted to be filed using EFS-Web:
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For example, a third party may file a citation of prior art and written statements in patent files under 37 CFR 1.501 or a Third Party Preissuance Submission under 37 CFR 1.290 via a dedicated EFS-Web interface; however, the filer must select the appropriate option identifying the type of submission or the submission will be improper.

The following is a list of submission types that are not permitted to be filed using EFS-Web:
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Note further that EFS-Web may not be used by third parties to file papers that have no right to entry in an application or proceeding under USPTO rules and procedures.

The following is a list of submission types that are not permitted to be filed using EFS-Web:
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(9) Documents filed in contested cases and trials before the Patent Trial and Appeal Board (PTAB), except as the PTAB may expressly authorize. See also 37 CFR 1.6(d)(7).

The following is a list of submission types that are not permitted to be filed using EFS-Web:
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(10) Documents filed in contested cases and trials before the PTAB which are governed by 37 CFR part 41, subpart D and part 42, respectively.

The following is a list of submission types that are not permitted to be filed using EFS-Web:
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For example, petitions for inter partes review, post grant review, covered business method patent review, and derivation proceedings cannot be filed via EFS-Web, but instead are filed electronically via the USPTO Patent Trial and Appeal Board End to End System at https://ptab.uspto.gov/#/login. See also 37 CFR 1.6(d)(3) and 1.8(a)(2)(i)(B) and (C).

Documents submitted through EFS-Web must be signed in accordance with 37 CFR 1.4, 1.33(b), and 11.18. Registered users who are joint inventors, or who represent less than all inventors or less than all applicants, may access their applications, but may not file documents lacking the signatures of all applicants unless specifically authorized under this framework. A sponsored support staff individual may file documents that are properly signed by the practitioner who directs and controls that individual’s work. Such a sponsored support staff individual, who is not an authorized party to sign the documents, is not responsible for the contents of the documents submitted. For all submissions through EFS-Web, the person who signs the documents (e.g., the applicant or a patent practitioner who is representing the applicant) is responsible for the contents. For example, the documents may be electronically signed or ink signed by the applicant or patent practitioner of record in accordance with 37 CFR 1.4(d). The sponsored support staff individual who serves the ministerial function of pickup and delivery of documents may submit the signed documents electronically via EFS-Web under the direction and control of the patent practitioner. (Ink signed documents can be electronically scanned and then e-filed.) This sponsored support staff individual may also view and retrieve documents from Private PAIR under the direction and control of that practitioner.

Registered and unregistered users may submit a third-party preissuance submission for any non-provisional utility, design, or plant application, including any continuing application. The application may be pending or abandoned and need not be published. To submit a third-party preissuance submission, the option “Third-Party Preissuance Submission under 37 CFR 1.290 ” must be selected. To submit a Third-Party Preissuance Submission, sign on to EFS-Web, and select the “Existing application/patent”option. The Web screen will expand to display additional options. Select the “Third-Party Preissuance Submission under 37 CFR 1.290 ” option and enter the Application Number and Confirmation Number. The Confirmation Number can be obtained by viewing the application in the PAIR System. This places the submission in a segregated area separate from the application file. After review by appropriate USPTO personnel, the submission may be placed in the application file.

Documents filed via EFS-Web Contingency as part of the submissions previously listed must meet the same file format requirements established for EFS-Web, e.g., file size and PDF embedded-font requirements. The same file validation performed in EFS-Web will be performed in EFS-Web Contingency. Similar to EFS-Web, EFS-Web Contingency will provide an Electronic Acknowledgement Receipt that establishes the date of receipt by the USPTO of an application or document submitted via EFS-Web Contingency. The applicant is not required to, and should not, resubmit the application or document that was submitted via the EFS-Web Contingency Option when the primary portal to EFS-Web is once again available. Any resubmission of an application will result in filing a duplicate application and, if applicant pays the filing fees again when submitting the duplicate application, no refund will be provided. 35 U.S.C. 42.

Documents filed via EFS-Web Contingency as part of the submissions previously listed must meet the same file format requirements established for EFS-Web, e.g., file size and PDF embedded-font requirements. The same file validation performed in EFS-Web will be performed in EFS-Web Contingency. Similar to EFS-Web, EFS-Web Contingency will provide an Electronic Acknowledgement Receipt that establishes the date of receipt by the USPTO of an application or document submitted via EFS-Web Contingency. The applicant is not required to, and should not, resubmit the application or document that was submitted via the EFS-Web Contingency Option when the primary portal to EFS-Web is once again available. Any resubmission of an application will result in filing a duplicate application and, if applicant pays the filing fees again when submitting the duplicate application, no refund will be provided. 35 U.S.C. 42.

Documents filed via EFS-Web Contingency as part of the submissions previously listed must meet the same file format requirements established for EFS-Web, e.g., file size and PDF embedded-font requirements. The same file validation performed in EFS-Web will be performed in EFS-Web Contingency. Similar to EFS-Web, EFS-Web Contingency will provide an Electronic Acknowledgement Receipt that establishes the date of receipt by the USPTO of an application or document submitted via EFS-Web Contingency. The applicant is not required to, and should not, resubmit the application or document that was submitted via the EFS-Web Contingency Option when the primary portal to EFS-Web is once again available. Any resubmission of an application will result in filing a duplicate application and, if applicant pays the filing fees again when submitting the duplicate application, no refund will be provided. 35 U.S.C. 42.

Documents filed via EFS-Web Contingency as part of the submissions previously listed must meet the same file format requirements established for EFS-Web, e.g., file size and PDF embedded-font requirements. The same file validation performed in EFS-Web will be performed in EFS-Web Contingency. Similar to EFS-Web, EFS-Web Contingency will provide an Electronic Acknowledgement Receipt that establishes the date of receipt by the USPTO of an application or document submitted via EFS-Web Contingency. The applicant is not required to, and should not, resubmit the application or document that was submitted via the EFS-Web Contingency Option when the primary portal to EFS-Web is once again available. Any resubmission of an application will result in filing a duplicate application and, if applicant pays the filing fees again when submitting the duplicate application, no refund will be provided. 35 U.S.C. 42.

Documents filed via EFS-Web Contingency as part of the submissions previously listed must meet the same file format requirements established for EFS-Web, e.g., file size and PDF embedded-font requirements. The same file validation performed in EFS-Web will be performed in EFS-Web Contingency. Similar to EFS-Web, EFS-Web Contingency will provide an Electronic Acknowledgement Receipt that establishes the date of receipt by the USPTO of an application or document submitted via EFS-Web Contingency. The applicant is not required to, and should not, resubmit the application or document that was submitted via the EFS-Web Contingency Option when the primary portal to EFS-Web is once again available. Any resubmission of an application will result in filing a duplicate application and, if applicant pays the filing fees again when submitting the duplicate application, no refund will be provided. 35 U.S.C. 42.

Documents filed via EFS-Web Contingency as part of the submissions previously listed must meet the same file format requirements established for EFS-Web, e.g., file size and PDF embedded-font requirements. The same file validation performed in EFS-Web will be performed in EFS-Web Contingency. Similar to EFS-Web, EFS-Web Contingency will provide an Electronic Acknowledgement Receipt that establishes the date of receipt by the USPTO of an application or document submitted via EFS-Web Contingency. The applicant is not required to, and should not, resubmit the application or document that was submitted via the EFS-Web Contingency Option when the primary portal to EFS-Web is once again available. Any resubmission of an application will result in filing a duplicate application and, if applicant pays the filing fees again when submitting the duplicate application, no refund will be provided. 35 U.S.C. 42.

The basic national fee is required in order for an international application to enter the national stage under 35 U.S.C. 371. See 37 CFR 1.495. Users are permitted to submit the basic national fee with the national stage submission under 35 U.S.C. 371 via EFS-Web and EFS-Web Contingency using the USPTO payment page. If the payment system is unavailable, neither EFS-Web nor EFS-Web Contingency will permit users to make payment using the interactive payment interfaces. Applicant may pay the necessary national stage entry fees by including a written authorization to charge a deposit account the desired fees together with the national stage submission under 35 U.S.C. 371, or by sending the payment via Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10 on the same date that the national stage submission is electronically filed.

The following examples describe implications raised when applicant inadvertently omits an item when filing an application under 35 U.S.C. 111 electronically via EFS-Web:
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The fees will not be considered late and a surcharge for filing the filing fees will not be required.

When the day, or the last day, for taking any action or paying any fee in the United States Patent and Trademark Office falls on Saturday, Sunday, or a Federal holiday within the District of Columbia, the action may be taken, or fee paid, on the next succeeding secular or business day.

If the payment system is unavailable, EFS-Web will not permit users to make payment using the interactive payment interface. The applicant may pay the basic national fee by either (a) including a written authorization to charge the fee to a deposit account together with the national stage submission under 35 U.S.C. 371, (b) hand-delivering the fee payment, or (c) sending the payment via Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10 on the same date that the national stage submission is electronically filed. However, applicants may not submit the basic national fee via facsimile transmission. See 37 CFR 1.6(d)(3) and 1.8(a)(2)(i)(F).

One advantage of filing a patent application via EFS-Web is that a registered user may view his or her submission in Private PAIR and file a document directly into the application file on the same day as the filing date of the application. In certain situations, applicant may correct an error by filing a missing item(s) on the same day as the filing date of the application. Applicant, however, may wish to file a new application in other certain situations.

One advantage of filing a patent application via EFS-Web is that a registered user may view his or her submission in Private PAIR and file a document directly into the application file on the same day as the filing date of the application. In certain situations, applicant may correct an error by filing a missing item(s) on the same day as the filing date of the application. Applicant, however, may wish to file a new application in other certain situations.

Documents submitted through EFS-Web must be signed in accordance with 37 CFR 1.4, 1.33(b), and 11.18. Registered users who are joint inventors, or who represent less than all inventors or less than all applicants, may access their applications, but may not file documents lacking the signatures of all applicants unless specifically authorized under this framework. A sponsored support staff individual may file documents that are properly signed by the practitioner who directs and controls that individual’s work. Such a sponsored support staff individual, who is not an authorized party to sign the documents, is not responsible for the contents of the documents submitted. For all submissions through EFS-Web, the person who signs the documents (e.g., the applicant or a patent practitioner who is representing the applicant) is responsible for the contents. For example, the documents may be electronically signed or ink signed by the applicant or patent practitioner of record in accordance with 37 CFR 1.4(d). The sponsored support staff individual who serves the ministerial function of pickup and delivery of documents may submit the signed documents electronically via EFS-Web under the direction and control of the patent practitioner. (Ink signed documents can be electronically scanned and then e-filed.) This sponsored support staff individual may also view and retrieve documents from Private PAIR under the direction and control of that practitioner.

The following examples describe implications raised when applicant inadvertently omits an item when filing an application under 35 U.S.C. 111 electronically via EFS-Web:
…
(2) Filing Fees – Applicant may file the filing fees (e.g., the basic filing fee, search and examination fees, application size fee, or excess claims fee) on the same day as the filing date of the application via EFS-Web.

If applicant files a second application to correct an error in the first application, applicant will have filed two applications. Applicant may continue to prosecute the first application that has the error or abandon the first application by filing a petition for express abandonment. Please note that any fees paid in the first application will not be refunded or applied to the second application. Applicant may request refund of the search fee and any excess claims fees (but not the basic filing fee, examination fee, and application size fee) paid in the first application if the application was filed under 35 U.S.C. 111(a), and the applicant files a petition for express abandonment in accordance with 37 CFR 1.138(d).

If applicant files a second application to correct an error in the first application, applicant will have filed two applications. Applicant may continue to prosecute the first application that has the error or abandon the first application by filing a petition for express abandonment. Please note that any fees paid in the first application will not be refunded or applied to the second application. Applicant may request refund of the search fee and any excess claims fees (but not the basic filing fee, examination fee, and application size fee) paid in the first application if the application was filed under 35 U.S.C. 111(a), and the applicant files a petition for express abandonment in accordance with 37 CFR 1.138(d).

If applicant files a second application to correct an error in the first application, applicant will have filed two applications. Applicant may continue to prosecute the first application that has the error or abandon the first application by filing a petition for express abandonment. Please note that any fees paid in the first application will not be refunded or applied to the second application. Applicant may request refund of the search fee and any excess claims fees (but not the basic filing fee, examination fee, and application size fee) paid in the first application if the application was filed under 35 U.S.C. 111(a), and the applicant files a petition for express abandonment in accordance with 37 CFR 1.138(d).

If applicant files a second application to correct an error in the first application, applicant will have filed two applications. Applicant may continue to prosecute the first application that has the error or abandon the first application by filing a petition for express abandonment. Please note that any fees paid in the first application will not be refunded or applied to the second application. Applicant may request refund of the search fee and any excess claims fees (but not the basic filing fee, examination fee, and application size fee) paid in the first application if the application was filed under 35 U.S.C. 111(a), and the applicant files a petition for express abandonment in accordance with 37 CFR 1.138(d).

Any sequence listing submitted as an ASCII text file via EFS-Web that is otherwise in compliance with 37 CFR 1.52(e), 1.824(a)(2)-(6) and (b), and any computer program listing submitted as an ASCII text file via EFS-Web that is otherwise in compliance with 37 CFR 1.52(e) and 1.96, will be excluded when determining the application size fee required by 37 CFR 1.16(s) as per 37 CFR 1.52(f)(1).

Regarding a table submitted as an ASCII text file via EFS-Web that is part of the specification or drawings, each three kilobytes of content submitted will be counted as a sheet of paper for purposes of determining the application size fee required by 37 CFR 1.16(s) or 1.492(j). Each table should be submitted as a separate text file. Further, the file name for each table should indicate which table is contained therein.

Regarding a table submitted as an ASCII text file via EFS-Web that is part of the specification or drawings, each three kilobytes of content submitted will be counted as a sheet of paper for purposes of determining the application size fee required by 37 CFR 1.16(s) or 1.492(j). Each table should be submitted as a separate text file. Further, the file name for each table should indicate which table is contained therein.

Regarding a table submitted as an ASCII text file via EFS-Web that is part of the specification or drawings, each three kilobytes of content submitted will be counted as a sheet of paper for purposes of determining the application size fee required by 37 CFR 1.16(s) or 1.492(j). Each table should be submitted as a separate text file. Further, the file name for each table should indicate which table is contained therein.

As previously noted, a sequence listing in an ASCII text file, as well as additional PDF files, may be submitted in one or more follow-on submissions via EFS-Web. Such follow-on submissions will form part of the international application (PCT) if filed on the same date on which the international application (PCT) was filed. Note that follow-on submissions of PDF files (including, but not limited to, PDF sequence listings) may change the number of pages in the international application (PCT) and therefore may affect the international filing fee.

Drawings submitted in international applications (PCT) are required to comply with PCT Rule 11.13, which does not permit color drawings. Furthermore, there is no provision for photographs in international applications. Nevertheless, black and white photographs will be accepted where it is impossible to present in a drawing what is to be shown (e.g., crystalline structures). Color photographs are not permitted in international applications. Applicants should, where possible, adhere to PCT Rule 11.13 and provide any necessary explanation of relevant colors in the description, since black and white drawings may be required by some offices in the national phase. Providing drawings and photographs in black and white will also help avoid receiving an invitation from the United States Receiving Office (RO/US) to comply with PCT Rule 11.13. Furthermore, the RO/US converts color drawings/photographs into black and white TIFF images, and such conversion may result in details being lost. Similarly, the International Bureau will, for international publication purposes, convert color drawings/photographs into black and white (not grayscale), which may result in details being lost. Consequently, conversion from color to black and white could impact the disclosure of the invention in the international application and affect the processing of the international application in the international and national phases.

The USPTO may object to the drawings and photographs, and require corrections or deletions if they do not comply with 37 CFR 1.84 or PCT Rule 11.13. The USPTO will accept color drawings or photographs in utility applications only after granting a petition explaining why the color drawings or photographs are necessary (37 CFR 1.84). Additionally, because color drawings are not permitted in international applications (PCT), color drawings and color photographs filed in a national stage application under 35 U.S.C. 371 will be treated as an amendment and will be objected to if they introduce new matter.

Only black and white photographs, and black and white line drawings, may be submitted via EFS-Web in international applications (PCT).

Users must select the correct document description when submitting photographs and drawings via EFS-Web. Selecting an incorrect document description may cause the photographs and drawings to be processed in a quality that is not sufficient for examination and publication. Applicant must select:
(2) “ Drawings – other than black and white line drawings ” (document code “DRW.NONBW”) for the following:
…
(b) Black and white photographs, and grayscale drawings, in international applications (PCT).

Under the Complex Work Unit Pilot Program, complex work units (such as chemical structure drawings, mathematical formulae, and three-dimensional protein crystalline structure data and table data) may be submitted as ASCII text files via EFS-Web for applications filed under 35 U.S.C. 111, national stage submissions under 35 U.S.C. 371, reexamination proceedings, and supplemental examination proceedings. Complex work units cannot be submitted as ASCII text files in international applications (PCT). More information is available on the USPTO website at www.uspto.gov/patent/initiatives/complex- work-unit-pilot-program.

EFS-Web enables users to electronically file international applications (PCT) with the United States Receiving Office (RO/US). The required page size for international applications (PCT) filed via EFS-Web in PDF format is A4 (29.7 cm x 21 cm). See PCT Rule 11.5. See subsection M.7., below, for more information about follow-on submissions during the international phase.

EFS-Web enables users to electronically file international applications (PCT) with the United States Receiving Office (RO/US). The required page size for international applications (PCT) filed via EFS-Web in PDF format is A4 (29.7 cm x 21 cm). See PCT Rule 11.5. See subsection M.7., below, for more information about follow-on submissions during the international phase.

EFS-Web permits users to submit zip files created by PCT-SAFE or ePCT. A zip file created using PCT-SAFE or ePCT will contain the PCT Request and a fee calculation sheet in PDF format, which are converted to TIFF images and loaded into the image file wrapper by the USPTO. PCT-SAFE and ePCT users may create and electronically sign using an S-signature the PCT Request, including the Declaration of Inventorship, for the purposes of filing via EFS-Web with the United States Receiving Office. PCT-SAFE and ePCT users may create a.zip file containing a validated PCT Request which will entitle the applicant to a reduction of the international filing fee when the PCT-SAFE or ePCT zip file is included in a new international application (PCT) filed with the United States Receiving Office via EFS-Web. See Use of WIPO's ePCT System for Preparing the PCT Request for Filing as Part of an International Application With the USPTO as Receiving Office, 81 FR 27417 (May 6, 2016). Alternatively, if the applicant chooses not to use PCT-SAFE or ePCT to create the PCT Request and fee calculation sheet, the applicant may use Form PCT/RO/101 (or equivalent) for the Request and attach the PDF file to the EFS-Web submission.

Drawings submitted in international applications (PCT) are required to comply with PCT Rule 11.13, which does not permit color drawings. Furthermore, there is no provision for photographs within the PCT Regulations. Nevertheless, black and white photographs will be accepted where it is impossible to represent in a drawing what is to be shown (e.g., crystalline structures). Color photographs are not permitted in international applications (PCT). See also subsection K.1, above.

Drawings submitted in international applications (PCT) are required to comply with PCT Rule 11.13, which does not permit color drawings. Furthermore, there is no provision for photographs within the PCT Regulations. Nevertheless, black and white photographs will be accepted where it is impossible to represent in a drawing what is to be shown (e.g., crystalline structures). Color photographs are not permitted in international applications (PCT). See also subsection K.1, above.

If a transmission is attempted during a down time, i.e., the electronic filing system is unavailable, the USPTO cannot accept it and will, if possible, transmit back a notice that the USPTO is not accepting submissions. No Electronic Acknowledgement Receipt will be sent. Instead a notice will advise the user to use alternative filing methods, such as Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10 or hand delivery of paper to the USPTO, to establish the filing date. Note that applications filed under 37 CFR 1.53, international applications (PCT), international design applications, reexamination requests, and requests for supplemental examination cannot be submitted by facsimile transmission (37 CFR 1.6(d)(3) and (5)), and that certificate of mailing procedures do not apply to new applications, copies of the international application and the basic national fees necessary to enter the national stage as specified in 37 CFR 1.495(b) and reexamination requests (37 CFR 1.8(a)(2)(i)(A), (D), and (F)). Users are strongly advised to transmit their electronic filings sufficiently early in the day to allow time for alternative paper filing when transmission cannot be initiated or correctly completed.

EFS-Web accepts standard PDF documents up to 25 megabytes for each file, and 60 electronic files per submission. For international design applications, EFS-Web can accept more than 60 electronic files in a single submission, subject to certain conditions. See subsection L.4. below for more information. PDF files created from scanned documents and submitted via EFS-Web must be created using a scanning resolution no lower than 300 dpi. Lower resolution scans have significantly delayed processing and publication of applications, e.g., resubmission has been required for documents failing to comply with the legibility requirements. See 37 CFR 1.52(a)(1)(v) and (a)(5) regarding document legibility requirements.

For international design applications, EFS-Web supports the use of black and white, color, or grayscale images within a JPEG document. To obtain sufficient image quality for purposes of WIPO publication of the international application and any subsequent U.S. patent that may issue thereon, image resolution should be between 250×250 DPI to 300×300 DPI. In addition, the images should have at least a one pixel border, and preferably a border of between 1-20 pixels. See subsection N for further information concerning reproductions in international design applications.

The file number limit per submission is sixty (60) electronic files, as EFS-Web is not currently capable of accepting more than 60 electronic files in any one submission (subject to certain exceptions for international design applications set forth in the next paragraph). Accordingly, if an application file includes more than 60 electronic files, it is recommended that the user submit 60 or fewer files in an initial filing via EFS-Web at which time the application will be assigned an application number. Note that regarding the 60 electronic file limit, an applicant may upload and validate in sets of up to 20 files each, with a limit of three sets of 20 files. If applicant chooses to divide a file into multiple parts using the multi-doc feature, each part is counted as one file. Then the user may submit any additional electronic files as follow-on documents later on the same day as the initial filing. This will allow all of the electronic files making up the application to receive the same filing date.

The file number limit per submission is sixty (60) electronic files, as EFS-Web is not currently capable of accepting more than 60 electronic files in any one submission (subject to certain exceptions for international design applications set forth in the next paragraph). Accordingly, if an application file includes more than 60 electronic files, it is recommended that the user submit 60 or fewer files in an initial filing via EFS-Web at which time the application will be assigned an application number. Note that regarding the 60 electronic file limit, an applicant may upload and validate in sets of up to 20 files each, with a limit of three sets of 20 files. If applicant chooses to divide a file into multiple parts using the multi-doc feature, each part is counted as one file. Then the user may submit any additional electronic files as follow-on documents later on the same day as the initial filing. This will allow all of the electronic files making up the application to receive the same filing date.

Users attaching reproductions under either the “Attach Reproductions” section or the “Attach Documents other than Reproductions” section should use the document description “drawings – only black and white line drawings” or “drawing – other than black and white line drawings”, as appropriate. EFS-Web will provide a warning to users about the possibility of incurring additional per page publication fees where reproductions are attached via the “Attach Documents other than Reproductions” section. EFS-Web will also provide a warning to users where a new international design application does not contain an indication that at least one reproduction is attached.

International design applications filed through the USPTO as an office of indirect filing are subject to payment of a transmittal fee. See 37 CFR 1.1031(a). Users are permitted to submit the transmittal fee via EFS-Web using the USPTO payment page. The USPTO will not transmit the international design application to the International Bureau if the transmittal fee has not been paid to the USPTO. See 37 CFR 1.1045. Applicants are cautioned that an international design application not received by the International Bureau within six months from the date the international design application is received by the USPTO will not be entitled to a filing date as of the date of receipt by the USPTO. See Rule 13.

International fees payable to WIPO include the prescribed fees set forth under Rule 12(1) (i.e., the basic fee, standard designation fee(s), individual designation fee(s), and publication fee) and Rule 11(2) (fee for a description exceeding 100 words). The “Calculate Fees” screen of EFS-Web does not provide for individual selection of these fees but rather provides for input of one lump sum in Swiss francs. The screen includes a link to the WIPO Hague System Fee Calculator (www.wipo.int/hague/en/fees/calculator.jsp) where users can input the appropriate data concerning their international design applications, and the WIPO Fee Calculator will determine the total amount of fees required in Swiss francs. Users can then copy and paste this amount into the “International Fees Payable to WIPO (CHF)” field of the EFS-Web Calculate Fees screen, and EFS-Web will calculate the U.S. dollar amount based on current exchange rates. EFS-Web will only permit payment of the international fees that are payable to WIPO until 12 midnight Eastern Time of the date of payment of the transmittal fee required under 37 CFR 1.1031(a).

No follow-on submission or fee payment is required from the applicant to initiate examination of an international design application that designates the United States. Upon receipt by the Office of the WIPO publication of an international design application designating the United States, the Office will prepare the application file for examination. Registered users may, in accordance with this framework, file follow-on submissions in the international design application via EFS-Web relevant to U.S. national processing and examination. Reproductions amended pursuant to 37 CFR 1.121 may be submitted via EFS-Web as either PDF or JPEG electronic files. Any such JPEG file must be attached to the EFS-Web submission using the “Attach JPEG Reproductions” section of the “Attach Documents” EFS-Web screen. See subsection L.3, above, for JPEG file size limits and subsection L.4, above, for the limit on the number of JPEG files that may be attached in one submission.

Drawings submitted in international applications (PCT) are required to comply with PCT Rule 11.13, which does not permit color drawings. Furthermore, there is no provision for photographs in international applications. Nevertheless, black and white photographs will be accepted where it is impossible to present in a drawing what is to be shown (e.g., crystalline structures). Color photographs are not permitted in international applications. Applicants should, where possible, adhere to PCT Rule 11.13 and provide any necessary explanation of relevant colors in the description, since black and white drawings may be required by some offices in the national phase. Providing drawings and photographs in black and white will also help avoid receiving an invitation from the United States Receiving Office (RO/US) to comply with PCT Rule 11.13. Furthermore, the RO/US converts color drawings/photographs into black and white TIFF images, and such conversion may result in details being lost. Similarly, the International Bureau will, for international publication purposes, convert color drawings/photographs into black and white (not grayscale), which may result in details being lost. Consequently, conversion from color to black and white could impact the disclosure of the invention in the international application and affect the processing of the international application in the international and national phases.

Users must select the correct document description when submitting photographs and drawings via EFS-Web. Selecting an incorrect document description may cause the photographs and drawings to be processed in a quality that is not sufficient for examination and publication. Applicant must select:

• (1) “ Drawings – only black and white line drawings ” (document code “DRW”) for the following:
  • (a) Black and white line drawings in:
    • (i) provisional applications under 35 U.S.C. 111(b);
    • (ii) nonprovisional utility patent applications under 35 U.S.C. 111(a), including reissue utility patent applications;
    • (iii) international applications (PCT) and national stage applications under 35 U.S.C. 371; and
    • (iv) reexamination proceedings for utility patents.
  • These drawings will be converted into TIFF images and stored in IFW.
  • (b) Black and white line drawings in design applications, including reissue design patent applications, international design applications, and reexamination proceedings for design patents. These drawings will be stored in SCORE, and a black and white copy will be stored in IFW along with a SCORE placeholder sheet.
• (2) “ Drawings – other than black and white line drawings ” (document code “DRW.NONBW”) for the following:
  • (a) Photographs, color drawings, grayscale drawings, and other drawings that are not black and white line drawings in:
    • (i) provisional applications under 35 U.S.C. 111(b);
    • (ii) nonprovisional utility and design patent applications under 35 U.S.C. 111(a), including reissue utility and design patent applications;
    • (iii) national stage applications under 35 U.S.C. 371;
    • (iv) international design applications;
    • (v) reexamination proceedings for utility patents and design patents; and
    • (vi) supplemental examination proceedings.
  • These drawings will be stored in the Supplemental Complex Repository for Examiners (SCORE), and a black and white copy will be stored in IFW along with a SCORE placeholder sheet.
  • (b) Black and white photographs, and grayscale drawings, in international applications (PCT). These drawings will be stored in SCORE, and a black and white copy will be stored in IFW along with a SCORE placeholder sheet.

Users must select the correct document description when submitting photographs and drawings via EFS-Web. Selecting an incorrect document description may cause the photographs and drawings to be processed in a quality that is not sufficient for examination and publication. Applicant must select:
(2) “ Drawings – other than black and white line drawings ” (document code “DRW.NONBW”) for the following:
…
These drawings will be stored in SCORE, and a black and white copy will be stored in IFW along with a SCORE placeholder sheet.

Under PCT Rule 5.2(a), the sequence listing must always be presented as a separate part of the description. When filing an international application (PCT) using EFS-Web, the sequence listing part of the description may be submitted either as a single ASCII text file with a “.txt” extension (e.g., “seqlist.txt”) or as a PDF file. Note that 100 megabytes is the size limit for submitting a sequence listing text file via EFS-Web. If the sequence listing is submitted as an ASCII text file, applicant need not and should not submit any additional copies. The single ASCII text file is preferred because the ASCII text file will serve both as the sequence listing part of the description under PCT Rule 5.2 and the electronic form under PCT Rule 13ter.1(a) in the absence of a PDF sequence listing file. The check list of the PCT Request provided via EFS-Web together with the international application (PCT) must indicate that the sequence listing forms part of the international application. Furthermore, the statement as set forth in paragraph 4(v) of Annex C (Administrative Instructions under the PCT, AI Annex C), that “the information recorded in electronic form furnished under Rule 13ter is identical to the sequence listing as contained in the international application,” is not required. Also the sequence listing in an ASCII text file will not be taken into account when calculating the application sheet count, i.e., no excess sheet fee will be required for the sequence listing text file.

Under PCT Rule 5.2(a), the sequence listing must always be presented as a separate part of the description. When filing an international application (PCT) using EFS-Web, the sequence listing part of the description may be submitted either as a single ASCII text file with a “.txt” extension (e.g., “seqlist.txt”) or as a PDF file. Note that 100 megabytes is the size limit for submitting a sequence listing text file via EFS-Web. If the sequence listing is submitted as an ASCII text file, applicant need not and should not submit any additional copies. The single ASCII text file is preferred because the ASCII text file will serve both as the sequence listing part of the description under PCT Rule 5.2 and the electronic form under PCT Rule 13ter.1(a) in the absence of a PDF sequence listing file. The check list of the PCT Request provided via EFS-Web together with the international application (PCT) must indicate that the sequence listing forms part of the international application. Furthermore, the statement as set forth in paragraph 4(v) of Annex C (Administrative Instructions under the PCT, AI Annex C), that “the information recorded in electronic form furnished under Rule 13ter is identical to the sequence listing as contained in the international application,” is not required. Also the sequence listing in an ASCII text file will not be taken into account when calculating the application sheet count, i.e., no excess sheet fee will be required for the sequence listing text file.

Under PCT Rule 5.2(a), the sequence listing must always be presented as a separate part of the description. When filing an international application (PCT) using EFS-Web, the sequence listing part of the description may be submitted either as a single ASCII text file with a “.txt” extension (e.g., “seqlist.txt”) or as a PDF file. Note that 100 megabytes is the size limit for submitting a sequence listing text file via EFS-Web. If the sequence listing is submitted as an ASCII text file, applicant need not and should not submit any additional copies. The single ASCII text file is preferred because the ASCII text file will serve both as the sequence listing part of the description under PCT Rule 5.2 and the electronic form under PCT Rule 13ter.1(a) in the absence of a PDF sequence listing file. The check list of the PCT Request provided via EFS-Web together with the international application (PCT) must indicate that the sequence listing forms part of the international application. Furthermore, the statement as set forth in paragraph 4(v) of Annex C (Administrative Instructions under the PCT, AI Annex C), that “the information recorded in electronic form furnished under Rule 13ter is identical to the sequence listing as contained in the international application,” is not required. Also the sequence listing in an ASCII text file will not be taken into account when calculating the application sheet count, i.e., no excess sheet fee will be required for the sequence listing text file.

Submission of the sequence listing part of the description in a PDF file is not recommended because the applicant would also be required to supply a copy of the sequence listing in an ASCII text file to the appropriate authority for purposes of international search and/or international preliminary examination in accordance with paragraph 40 of AI Annex C. When a sequence listing is filed via EFS-Web in a new international application (PCT) in both a PDF file and an ASCII text file, but the Request form Box No. IX does not indicate which one forms part of the international application, the PDF copy of the sequence listing will be considered to form part of the application and the ASCII text file will be considered an accompanying item for search purposes under PCT Rule 13ter.1(a) only. The pages of the PDF file that contain the sequence listing will be taken into account when calculating the application sheet count, i.e., excess sheet fees may be required for the PDF file.

In the situation where applicant needs to file a sequence listing that is over one hundred (100) megabytes, applicant may use EFS-Web to file the international application (PCT) without the sequence listing to obtain the international application (PCT) number and the confirmation number, and then file the sequence listing on compact discs on the same day by using Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10, or by hand delivery, in order to secure the same filing date for all parts of the international application (PCT). However, Priority Mail Express ® from the USPS and hand delivered submissions must not contain PDF files and must fully comply with the guidelines for filing a sequence listing on electronic media as set forth in MPEP § 2422.03(a), subsection IV. The check list of the PCT Request provided via EFS-Web together with the international application (PCT) should indicate that the sequence listing part of the description will be filed separately on physical data carrier(s), on the same day and in the form of an Annex C/ST.25 text file. The sequence listing must be in a single ASCII plain text file. Where a sequence listing ASCII plain text file does not fit on a single compact disc software may be may used to prepare multiple concatenated file parts for submission on multiple compact discs. If the sequence listing is submitted on multiple compact discs, the compact discs must be labeled to indicate their order (e.g., “1 of X”, “2 of X”). This allows the multiple parts to automatically join and form the single ASCII plain text file when the properly labeled multiple compact discs are subsequently processed by the USPTO.

Tables related to a sequence listing must be an integral part of the description of the international application (PCT), and must not be included in the sequence listing part or the drawing part. Such tables will be taken into account when calculating the application sheet count, and excess sheet fees may be required. When applicant submits tables related to a sequence listing in an international application (PCT) via EFS-Web, the tables must be in a PDF file. If applicant submits tables related to a sequence listing in a text file, such tables will not be accepted as part of the international application (PCT). For more information, see Sequence Listings and Tables Related Thereto in International Applications Filed in the United States Receiving Office, 1344 Off. Gaz. Pat. Office 50 (July 7, 2009).

Unregistered users cannot file documents after the initial submission via EFS-Web, except for ePetitions to make special based on age and ePetitions to accept an unintentionally delayed payment of a maintenance fee. Unregistered users may file follow-on documents by mail (with a certificate of mailing in accordance with 37 CFR 1.8), Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10, or hand-delivery.

If a transmission is attempted during a down time, i.e., the electronic filing system is unavailable, the USPTO cannot accept it and will, if possible, transmit back a notice that the USPTO is not accepting submissions. No Electronic Acknowledgement Receipt will be sent. Instead a notice will advise the user to use alternative filing methods, such as Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10 or hand delivery of paper to the USPTO, to establish the filing date. Note that applications filed under 37 CFR 1.53, international applications (PCT), international design applications, reexamination requests, and requests for supplemental examination cannot be submitted by facsimile transmission (37 CFR 1.6(d)(3) and (5)), and that certificate of mailing procedures do not apply to new applications, copies of the international application and the basic national fees necessary to enter the national stage as specified in 37 CFR 1.495(b) and reexamination requests (37 CFR 1.8(a)(2)(i)(A), (D), and (F)). Users are strongly advised to transmit their electronic filings sufficiently early in the day to allow time for alternative paper filing when transmission cannot be initiated or correctly completed.

When the primary portal to EFS-Web is unavailable during an unscheduled outage, applicants may also file new applications, national stage submissions under 35 U.S.C. 371 submitted with the basic national fee necessary to enter the national stage, reexamination requests, and requests for supplemental examination by either hand-delivery to the USPTO, or Priority Mail Express ® from the United States Postal Service (USPS) in accordance with 37 CFR 1.10, to establish the filing date or national stage submission date. New applications, national stage submissions under 35 U.S.C. 371 submitted with the basic national fee necessary to enter the national stage, reexamination requests, and requests for supplemental examination cannot be submitted by facsimile transmission and certificate of mailing procedures under 37 CFR 1.8 do not apply to these items.

The EFS-Web Contingency Option does not permit follow-on fee payments and follow-on documents other than those previously listed. Applicants may file the documents or fee payments by: (1) facsimile transmission in accordance with 37 CFR 1.6(d) and 1.8, (2) first class mail with a certificate of mailing in accordance with 37 CFR 1.8, (3) hand-delivery to the USPTO, or (4) Priority Mail Express ® from USPS in accordance with 37 CFR 1.10. Documents that are required to establish the filing date of an application (e.g., a missing drawing figure or page of the specification) cannot be submitted by facsimile transmission, and certificate of mailing procedures under 37 CFR 1.8 do not apply to these documents.

The EFS-Web Contingency Option does not permit follow-on fee payments and follow-on documents other than those previously listed. Applicants may file the documents or fee payments by: (1) facsimile transmission in accordance with 37 CFR 1.6(d) and 1.8, (2) first class mail with a certificate of mailing in accordance with 37 CFR 1.8, (3) hand-delivery to the USPTO, or (4) Priority Mail Express ® from USPS in accordance with 37 CFR 1.10. Documents that are required to establish the filing date of an application (e.g., a missing drawing figure or page of the specification) cannot be submitted by facsimile transmission, and certificate of mailing procedures under 37 CFR 1.8 do not apply to these documents.

Users that do not have, or do not wish to use, a Patent Electronic System Account to authenticate to the USPTO, may submit new application filings via a non-authenticated workflow as an unregistered user. The user would go to the EFS-Web page and choose to submit without a Patent Electronic System Account as an unregistered user, which would generate a TLS connection for the session, thus allowing secure data transmission to the USPTO. Unregistered users have the same level of protection for filing as a registered user, but are limited to submission of initial filings (except as noted in section B1). This practice minimizes the risk of improperly-filed third party submissions and other documents. Unregistered users may file follow-on documents by mail (with a certificate of mailing in accordance with 37 CFR 1.8), by Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10, or by hand delivery.

Users that do not have, or do not wish to use, a Patent Electronic System Account to authenticate to the USPTO, may submit new application filings via a non-authenticated workflow as an unregistered user. The user would go to the EFS-Web page and choose to submit without a Patent Electronic System Account as an unregistered user, which would generate a TLS connection for the session, thus allowing secure data transmission to the USPTO. Unregistered users have the same level of protection for filing as a registered user, but are limited to submission of initial filings (except as noted in section B1). This practice minimizes the risk of improperly-filed third party submissions and other documents. Unregistered users may file follow-on documents by mail (with a certificate of mailing in accordance with 37 CFR 1.8), by Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10, or by hand delivery.

Users that do not have, or do not wish to use, a Patent Electronic System Account to authenticate to the USPTO, may submit new application filings via a non-authenticated workflow as an unregistered user. The user would go to the EFS-Web page and choose to submit without a Patent Electronic System Account as an unregistered user, which would generate a TLS connection for the session, thus allowing secure data transmission to the USPTO. Unregistered users have the same level of protection for filing as a registered user, but are limited to submission of initial filings (except as noted in section B1). This practice minimizes the risk of improperly-filed third party submissions and other documents. Unregistered users may file follow-on documents by mail (with a certificate of mailing in accordance with 37 CFR 1.8), by Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10, or by hand delivery.

The following is a list of submission types that are not permitted to be filed using EFS-Web:
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(3) Third party inquiries, petitions or papers, unless specifically authorized by this Legal Framework and filed in the manner required by the EFS-Web interface.

The following is a list of submission types that are not permitted to be filed using EFS-Web:
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Third party filing of papers directly into an application, patent, or reexamination is not permitted under the regulations or this Legal Framework.

The following is a list of submission types that are not permitted to be filed using EFS-Web:
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The Office considers inappropriate any third-party inquiry or submission in an application that is not provided for in 37 CFR 1.290.

The following is a list of submission types that are not permitted to be filed using EFS-Web:
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For example, a third party is prohibited from filing a demand that the Office withdraw an application from issue under 37 CFR 1.313 on the basis of unpatentability of a claim, and may not attempt to use the Patent Electronic System to evade this prohibition.

Documents submitted through EFS-Web must be signed in accordance with 37 CFR 1.4, 1.33(b), and 11.18. Registered users who are joint inventors, or who represent less than all inventors or less than all applicants, may access their applications, but may not file documents lacking the signatures of all applicants unless specifically authorized under this framework. A sponsored support staff individual may file documents that are properly signed by the practitioner who directs and controls that individual’s work. Such a sponsored support staff individual, who is not an authorized party to sign the documents, is not responsible for the contents of the documents submitted. For all submissions through EFS-Web, the person who signs the documents (e.g., the applicant or a patent practitioner who is representing the applicant) is responsible for the contents. For example, the documents may be electronically signed or ink signed by the applicant or patent practitioner of record in accordance with 37 CFR 1.4(d). The sponsored support staff individual who serves the ministerial function of pickup and delivery of documents may submit the signed documents electronically via EFS-Web under the direction and control of the patent practitioner. (Ink signed documents can be electronically scanned and then e-filed.) This sponsored support staff individual may also view and retrieve documents from Private PAIR under the direction and control of that practitioner.

Users that do not have, or do not wish to use, a Patent Electronic System Account to authenticate to the USPTO, may submit new application filings via a non-authenticated workflow as an unregistered user. The user would go to the EFS-Web page and choose to submit without a Patent Electronic System Account as an unregistered user, which would generate a TLS connection for the session, thus allowing secure data transmission to the USPTO. Unregistered users have the same level of protection for filing as a registered user, but are limited to submission of initial filings (except as noted in section B1). This practice minimizes the risk of improperly-filed third party submissions and other documents. Unregistered users may file follow-on documents by mail (with a certificate of mailing in accordance with 37 CFR 1.8), by Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10, or by hand delivery.

Registered and unregistered users may submit a third-party preissuance submission for any non-provisional utility, design, or plant application, including any continuing application. The application may be pending or abandoned and need not be published. To submit a third-party preissuance submission, the option “Third-Party Preissuance Submission under 37 CFR 1.290 ” must be selected. To submit a Third-Party Preissuance Submission, sign on to EFS-Web, and select the “Existing application/patent”option. The Web screen will expand to display additional options. Select the “Third-Party Preissuance Submission under 37 CFR 1.290 ” option and enter the Application Number and Confirmation Number. The Confirmation Number can be obtained by viewing the application in the PAIR System. This places the submission in a segregated area separate from the application file. After review by appropriate USPTO personnel, the submission may be placed in the application file.

Applicants filing international design applications through the USPTO are required to present the international design application on the official form established by the International Bureau (i.e., Form DM/1, entitled “Application for International Registration”) or on any form having the same form and content as the official form. Form DM/1 is available on the website of the International Bureau at www.wipo.int/hague/en/forms/. The DM/1 form includes boxes for providing information concerning the applicant, applicant’s entitlement to file an international design application, the creator, product identification, designations of Contracting Parties, priority claim, description, and other relevant information.

Users should use the document description “App for Intl Registration (DM/1 or equiv)” for a DM/1 form (or equivalent) submitted via EFS-Web. For new international design application submissions, EFS-Web will check for the presence of the document description for the DM/1 form when upload and validation functions are performed and, if not present, will alert the user that the DM/1 form is not indicated as being attached. EFS-Web will not block submission of a new international design application based on the missing document description. If the DM/1 form document description is present, EFS-Web will prompt the user to verify that the DM/1 form indicates applicant’s entitlement to file the international design application through the USPTO as an office of indirect filing. The USPTO will not transmit an international design application to the International Bureau if applicant’s entitlement to file the application through the USPTO is not indicated in the submission.

Users should use the document description “App for Intl Registration (DM/1 or equiv)” for a DM/1 form (or equivalent) submitted via EFS-Web. For new international design application submissions, EFS-Web will check for the presence of the document description for the DM/1 form when upload and validation functions are performed and, if not present, will alert the user that the DM/1 form is not indicated as being attached. EFS-Web will not block submission of a new international design application based on the missing document description. If the DM/1 form document description is present, EFS-Web will prompt the user to verify that the DM/1 form indicates applicant’s entitlement to file the international design application through the USPTO as an office of indirect filing. The USPTO will not transmit an international design application to the International Bureau if applicant’s entitlement to file the application through the USPTO is not indicated in the submission.

Users should use the document description “App for Intl Registration (DM/1 or equiv)” for a DM/1 form (or equivalent) submitted via EFS-Web. For new international design application submissions, EFS-Web will check for the presence of the document description for the DM/1 form when upload and validation functions are performed and, if not present, will alert the user that the DM/1 form is not indicated as being attached. EFS-Web will not block submission of a new international design application based on the missing document description. If the DM/1 form document description is present, EFS-Web will prompt the user to verify that the DM/1 form indicates applicant’s entitlement to file the international design application through the USPTO as an office of indirect filing. The USPTO will not transmit an international design application to the International Bureau if applicant’s entitlement to file the application through the USPTO is not indicated in the submission.

Users should use the document description “App for Intl Registration (DM/1 or equiv)” for a DM/1 form (or equivalent) submitted via EFS-Web. For new international design application submissions, EFS-Web will check for the presence of the document description for the DM/1 form when upload and validation functions are performed and, if not present, will alert the user that the DM/1 form is not indicated as being attached. EFS-Web will not block submission of a new international design application based on the missing document description. If the DM/1 form document description is present, EFS-Web will prompt the user to verify that the DM/1 form indicates applicant’s entitlement to file the international design application through the USPTO as an office of indirect filing. The USPTO will not transmit an international design application to the International Bureau if applicant’s entitlement to file the application through the USPTO is not indicated in the submission.

Users attaching reproductions under either the “Attach Reproductions” section or the “Attach Documents other than Reproductions” section should use the document description “drawings – only black and white line drawings” or “drawing – other than black and white line drawings”, as appropriate. EFS-Web will provide a warning to users about the possibility of incurring additional per page publication fees where reproductions are attached via the “Attach Documents other than Reproductions” section. EFS-Web will also provide a warning to users where a new international design application does not contain an indication that at least one reproduction is attached.

An international design application may be accompanied by annexes submitted for the purpose of complying with certain national law requirements that may be applicable to a designated Contracting Party, for example, the requirement for an inventor’s oath or declaration where the United States is designated. Annex forms specific to particular Contracting Parties are available on the website of the International Bureau at www.wipo.int/ hague/en/forms/. Annexes should be attached to the EFS-Web submission using the document description “Annex(es) to the DM/1 or equivalent”.

International fees payable to WIPO include the prescribed fees set forth under Rule 12(1) (i.e., the basic fee, standard designation fee(s), individual designation fee(s), and publication fee) and Rule 11(2) (fee for a description exceeding 100 words). The “Calculate Fees” screen of EFS-Web does not provide for individual selection of these fees but rather provides for input of one lump sum in Swiss francs. The screen includes a link to the WIPO Hague System Fee Calculator (www.wipo.int/hague/en/fees/calculator.jsp) where users can input the appropriate data concerning their international design applications, and the WIPO Fee Calculator will determine the total amount of fees required in Swiss francs. Users can then copy and paste this amount into the “International Fees Payable to WIPO (CHF)” field of the EFS-Web Calculate Fees screen, and EFS-Web will calculate the U.S. dollar amount based on current exchange rates. EFS-Web will only permit payment of the international fees that are payable to WIPO until 12 midnight Eastern Time of the date of payment of the transmittal fee required under 37 CFR 1.1031(a).

The official application filing date will be noted on the filing receipt (37 CFR 1.54) after the submitted application parts are reviewed for compliance with 35 U.S.C. 111 (or for compliance with 35 U.S.C. 371 for entry into the U.S. national stage of an international application). The filing date of an application filed under 35 U.S.C. 111 via EFS-Web is based on the dates indicated on the Electronic Acknowledgement Receipt assuming that, after review, the documents submitted are found to be entitled to an application filing date. Likewise, the official reexamination filing date will be noted on the “Notice of Ex Parte Reexamination Request Filing Date” and the official supplemental examination filing date will be noted on the “Notice of Supplemental Examination Request Filing Date” after Central Reexamination Unit (CRU) review for filing date compliance, and is based on the dates indicated on the Electronic Acknowledgement Receipt.

The official application filing date will be noted on the filing receipt (37 CFR 1.54) after the submitted application parts are reviewed for compliance with 35 U.S.C. 111 (or for compliance with 35 U.S.C. 371 for entry into the U.S. national stage of an international application). The filing date of an application filed under 35 U.S.C. 111 via EFS-Web is based on the dates indicated on the Electronic Acknowledgement Receipt assuming that, after review, the documents submitted are found to be entitled to an application filing date. Likewise, the official reexamination filing date will be noted on the “Notice of Ex Parte Reexamination Request Filing Date” and the official supplemental examination filing date will be noted on the “Notice of Supplemental Examination Request Filing Date” after Central Reexamination Unit (CRU) review for filing date compliance, and is based on the dates indicated on the Electronic Acknowledgement Receipt.

The official application filing date will be noted on the filing receipt (37 CFR 1.54) after the submitted application parts are reviewed for compliance with 35 U.S.C. 111 (or for compliance with 35 U.S.C. 371 for entry into the U.S. national stage of an international application). The filing date of an application filed under 35 U.S.C. 111 via EFS-Web is based on the dates indicated on the Electronic Acknowledgement Receipt assuming that, after review, the documents submitted are found to be entitled to an application filing date. Likewise, the official reexamination filing date will be noted on the “Notice of Ex Parte Reexamination Request Filing Date” and the official supplemental examination filing date will be noted on the “Notice of Supplemental Examination Request Filing Date” after Central Reexamination Unit (CRU) review for filing date compliance, and is based on the dates indicated on the Electronic Acknowledgement Receipt.

One hundred (100) megabytes is the size limit for sequence listing text files submitted via EFS-Web. Sequence listing text files must not be partitioned into multiple files for filing via EFS-Web as the EFS-Web electronic filing system is not currently capable of handling such submissions. For all other file types EFS-Web is currently not capable of accepting files that are larger than 25 megabytes. Additionally, a single EFS-Web submission may include no more than 60 electronic files. Note that, regarding the limit of 60 files, an applicant may upload and validate in sets of up to 20 files each, with a limit of three sets of 20. If applicant chooses to divide a file into multiple parts using the multi-doc feature, each part is counted as one file. The need to submit unusually large sequence listings and/or numerous electronic files may prevent applicant from making a complete international application (PCT) filing in a single EFS-Web submission. Registered EFS-Web users may file part of the international application (PCT) to obtain the international application (PCT) number and the confirmation number, and then file the remainder of the international application (PCT) on the same day as one or more follow-on submissions using EFS-Web, in order to secure the same filing date for all parts of the international application (PCT).

One hundred (100) megabytes is the size limit for sequence listing text files submitted via EFS-Web. Sequence listing text files must not be partitioned into multiple files for filing via EFS-Web as the EFS-Web electronic filing system is not currently capable of handling such submissions. For all other file types EFS-Web is currently not capable of accepting files that are larger than 25 megabytes. Additionally, a single EFS-Web submission may include no more than 60 electronic files. Note that, regarding the limit of 60 files, an applicant may upload and validate in sets of up to 20 files each, with a limit of three sets of 20. If applicant chooses to divide a file into multiple parts using the multi-doc feature, each part is counted as one file. The need to submit unusually large sequence listings and/or numerous electronic files may prevent applicant from making a complete international application (PCT) filing in a single EFS-Web submission. Registered EFS-Web users may file part of the international application (PCT) to obtain the international application (PCT) number and the confirmation number, and then file the remainder of the international application (PCT) on the same day as one or more follow-on submissions using EFS-Web, in order to secure the same filing date for all parts of the international application (PCT).

In the situation where applicant needs to file a sequence listing that is over one hundred (100) megabytes, applicant may use EFS-Web to file the international application (PCT) without the sequence listing to obtain the international application (PCT) number and the confirmation number, and then file the sequence listing on compact discs on the same day by using Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10, or by hand delivery, in order to secure the same filing date for all parts of the international application (PCT). However, Priority Mail Express ® from the USPS and hand delivered submissions must not contain PDF files and must fully comply with the guidelines for filing a sequence listing on electronic media as set forth in MPEP § 2422.03(a), subsection IV. The check list of the PCT Request provided via EFS-Web together with the international application (PCT) should indicate that the sequence listing part of the description will be filed separately on physical data carrier(s), on the same day and in the form of an Annex C/ST.25 text file. The sequence listing must be in a single ASCII plain text file. Where a sequence listing ASCII plain text file does not fit on a single compact disc software may be may used to prepare multiple concatenated file parts for submission on multiple compact discs. If the sequence listing is submitted on multiple compact discs, the compact discs must be labeled to indicate their order (e.g., “1 of X”, “2 of X”). This allows the multiple parts to automatically join and form the single ASCII plain text file when the properly labeled multiple compact discs are subsequently processed by the USPTO.

EFS-Web may also be used to submit a sequence listing in an ASCII text file after the international filing date in response to a requirement made by the United States International Searching Authority or United States International Preliminary Examining Authority under 37 CFR 1.821(h) and PCT Rule 13ter. Such sequence listing will not form part of the PCT international application as set forth in PCT Rule 13ter.1(e).

For example, if an applicant in California officially files a patent application with the USPTO through EFS-Web by clicking on the SUBMIT button at 10 p.m. Pacific Daylight Time in California on May 1, that application would be officially received by the USPTO at 1 a.m., local time (i.e., Eastern Daylight Time) on May 2. Accordingly, the application would receive a filing date of May 2. However, the applicant could alternatively file the application using Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10 in which case the applicant would have until midnight on May 1 in his or her local time zone to file the application and obtain a filing date of May 1.

For example, if an applicant in California officially files a patent application with the USPTO through EFS-Web by clicking on the SUBMIT button at 10 p.m. Pacific Daylight Time in California on May 1, that application would be officially received by the USPTO at 1 a.m., local time (i.e., Eastern Daylight Time) on May 2. Accordingly, the application would receive a filing date of May 2. However, the applicant could alternatively file the application using Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10 in which case the applicant would have until midnight on May 1 in his or her local time zone to file the application and obtain a filing date of May 1.

For nearly all other file types, 25 megabytes is the size limit. If a user wishes to submit an electronic copy of a computer program listing or table that is larger than 25 megabytes, it is recommended that the electronic copy be submitted on compact disc via Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10 on the date of the corresponding EFS-Web filing in accordance with 37 CFR 1.52(e) if the user wishes the electronic copy to be considered to be part of the application as filed. Alternatively, the user may submit the application on paper and include the electronic copies on compact disc in accordance with 37 CFR 1.52(e). Another alternative would be for the user to break up a computer program listing or table file that is larger than 25 megabytes into multiple files that are no larger than 25 megabytes each and submit those smaller files via EFS-Web. If the user chooses to break up a large computer program listing or table file so that it may be submitted electronically, the file names must indicate their order (e.g., “1 of X”, “2 of X”).

For nearly all other file types, 25 megabytes is the size limit. If a user wishes to submit an electronic copy of a computer program listing or table that is larger than 25 megabytes, it is recommended that the electronic copy be submitted on compact disc via Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10 on the date of the corresponding EFS-Web filing in accordance with 37 CFR 1.52(e) if the user wishes the electronic copy to be considered to be part of the application as filed. Alternatively, the user may submit the application on paper and include the electronic copies on compact disc in accordance with 37 CFR 1.52(e). Another alternative would be for the user to break up a computer program listing or table file that is larger than 25 megabytes into multiple files that are no larger than 25 megabytes each and submit those smaller files via EFS-Web. If the user chooses to break up a large computer program listing or table file so that it may be submitted electronically, the file names must indicate their order (e.g., “1 of X”, “2 of X”).

For nearly all other file types, 25 megabytes is the size limit. If a user wishes to submit an electronic copy of a computer program listing or table that is larger than 25 megabytes, it is recommended that the electronic copy be submitted on compact disc via Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10 on the date of the corresponding EFS-Web filing in accordance with 37 CFR 1.52(e) if the user wishes the electronic copy to be considered to be part of the application as filed. Alternatively, the user may submit the application on paper and include the electronic copies on compact disc in accordance with 37 CFR 1.52(e). Another alternative would be for the user to break up a computer program listing or table file that is larger than 25 megabytes into multiple files that are no larger than 25 megabytes each and submit those smaller files via EFS-Web. If the user chooses to break up a large computer program listing or table file so that it may be submitted electronically, the file names must indicate their order (e.g., “1 of X”, “2 of X”).

For nearly all other file types, 25 megabytes is the size limit. If a user wishes to submit an electronic copy of a computer program listing or table that is larger than 25 megabytes, it is recommended that the electronic copy be submitted on compact disc via Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10 on the date of the corresponding EFS-Web filing in accordance with 37 CFR 1.52(e) if the user wishes the electronic copy to be considered to be part of the application as filed. Alternatively, the user may submit the application on paper and include the electronic copies on compact disc in accordance with 37 CFR 1.52(e). Another alternative would be for the user to break up a computer program listing or table file that is larger than 25 megabytes into multiple files that are no larger than 25 megabytes each and submit those smaller files via EFS-Web. If the user chooses to break up a large computer program listing or table file so that it may be submitted electronically, the file names must indicate their order (e.g., “1 of X”, “2 of X”).

For nearly all other file types, 25 megabytes is the size limit. If a user wishes to submit an electronic copy of a computer program listing or table that is larger than 25 megabytes, it is recommended that the electronic copy be submitted on compact disc via Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10 on the date of the corresponding EFS-Web filing in accordance with 37 CFR 1.52(e) if the user wishes the electronic copy to be considered to be part of the application as filed. Alternatively, the user may submit the application on paper and include the electronic copies on compact disc in accordance with 37 CFR 1.52(e). Another alternative would be for the user to break up a computer program listing or table file that is larger than 25 megabytes into multiple files that are no larger than 25 megabytes each and submit those smaller files via EFS-Web. If the user chooses to break up a large computer program listing or table file so that it may be submitted electronically, the file names must indicate their order (e.g., “1 of X”, “2 of X”).

The USPTO will provide an EFS-Web Contingency option to users to file new applications, national stage submissions under 35 U.S.C. 371, requests for reexamination, requests for supplemental examination, and certain petitions when the primary portal to EFS-Web is unavailable during an unscheduled outage. The USPTO will post a notification of any unscheduled outage of the primary portal to EFS-Web and provide the link to EFS-Web Contingency on the EFS-Web Internet page www.uspto.gov/patents-application- process/applying-online/about-efs-web. The EFS-Web Contingency (www.uspto.gov/patents- application-process/applying-online/efs-web-contingency) has the same functionality as EFS-Web for unregistered users. It permits users to sign on as unregistered EFS-Web users to file new applications, national stage submissions under 35 U.S.C. 371 submitted with the basic national fee necessary to enter the national stage, requests for reexamination, requests for supplemental examination and certain petitions. However, other follow-on documents and fee payments filed after the initial submission of the application, reexamination request, or supplemental examination request (e.g., amendments and replies to Office actions) cannot be filed using EFS-Web Contingency Option.

The USPTO will provide an EFS-Web Contingency option to users to file new applications, national stage submissions under 35 U.S.C. 371, requests for reexamination, requests for supplemental examination, and certain petitions when the primary portal to EFS-Web is unavailable during an unscheduled outage. The USPTO will post a notification of any unscheduled outage of the primary portal to EFS-Web and provide the link to EFS-Web Contingency on the EFS-Web Internet page www.uspto.gov/patents-application- process/applying-online/about-efs-web. The EFS-Web Contingency (www.uspto.gov/patents- application-process/applying-online/efs-web-contingency) has the same functionality as EFS-Web for unregistered users. It permits users to sign on as unregistered EFS-Web users to file new applications, national stage submissions under 35 U.S.C. 371 submitted with the basic national fee necessary to enter the national stage, requests for reexamination, requests for supplemental examination and certain petitions. However, other follow-on documents and fee payments filed after the initial submission of the application, reexamination request, or supplemental examination request (e.g., amendments and replies to Office actions) cannot be filed using EFS-Web Contingency Option.

As previously stated, EFS-Web Contingency and (EFS-Web for unregistered users) permits users to sign on as unregistered EFS-Web users to file new applications, national stage submissions under 35 U.S.C. 371 submitted with the basic national fee necessary to enter the national stage, requests for reexamination, requests for supplemental examination, and certain ePetitions. EFS-Web Contingency (and EFS-Web for unregistered users) have limited functionality, and do not permit users to file other follow-on documents and follow-on fee payments after the initial submission of the application, reexamination request, or supplemental examination request (e.g., amendments and replies to Office actions). Note that it is improper for registered and unregistered users to file follow-on documents as new applications. The USPTO provides answers to frequently asked questions, and other helpful information on the USPTO website. Users are encouraged to check the USPTO website for more information and contact the Patent Electronic Business Center for questions related to the usage of USPTO Patent Electronic Systems. When an applicant improperly files a follow-on document as a new application via EFS-Web Contingency (or EFS-Web) and wishes the USPTO to move the follow-on document to an existing intended application, a petition under 37 CFR 1.182 accompanied by the petition fee under 37 CFR 1.17(f) will be required in the intended application.

As previously stated, EFS-Web Contingency and (EFS-Web for unregistered users) permits users to sign on as unregistered EFS-Web users to file new applications, national stage submissions under 35 U.S.C. 371 submitted with the basic national fee necessary to enter the national stage, requests for reexamination, requests for supplemental examination, and certain ePetitions. EFS-Web Contingency (and EFS-Web for unregistered users) have limited functionality, and do not permit users to file other follow-on documents and follow-on fee payments after the initial submission of the application, reexamination request, or supplemental examination request (e.g., amendments and replies to Office actions). Note that it is improper for registered and unregistered users to file follow-on documents as new applications. The USPTO provides answers to frequently asked questions, and other helpful information on the USPTO website. Users are encouraged to check the USPTO website for more information and contact the Patent Electronic Business Center for questions related to the usage of USPTO Patent Electronic Systems. When an applicant improperly files a follow-on document as a new application via EFS-Web Contingency (or EFS-Web) and wishes the USPTO to move the follow-on document to an existing intended application, a petition under 37 CFR 1.182 accompanied by the petition fee under 37 CFR 1.17(f) will be required in the intended application.

As previously stated, EFS-Web Contingency and (EFS-Web for unregistered users) permits users to sign on as unregistered EFS-Web users to file new applications, national stage submissions under 35 U.S.C. 371 submitted with the basic national fee necessary to enter the national stage, requests for reexamination, requests for supplemental examination, and certain ePetitions. EFS-Web Contingency (and EFS-Web for unregistered users) have limited functionality, and do not permit users to file other follow-on documents and follow-on fee payments after the initial submission of the application, reexamination request, or supplemental examination request (e.g., amendments and replies to Office actions). Note that it is improper for registered and unregistered users to file follow-on documents as new applications. The USPTO provides answers to frequently asked questions, and other helpful information on the USPTO website. Users are encouraged to check the USPTO website for more information and contact the Patent Electronic Business Center for questions related to the usage of USPTO Patent Electronic Systems. When an applicant improperly files a follow-on document as a new application via EFS-Web Contingency (or EFS-Web) and wishes the USPTO to move the follow-on document to an existing intended application, a petition under 37 CFR 1.182 accompanied by the petition fee under 37 CFR 1.17(f) will be required in the intended application.

As previously stated, EFS-Web Contingency and (EFS-Web for unregistered users) permits users to sign on as unregistered EFS-Web users to file new applications, national stage submissions under 35 U.S.C. 371 submitted with the basic national fee necessary to enter the national stage, requests for reexamination, requests for supplemental examination, and certain ePetitions. EFS-Web Contingency (and EFS-Web for unregistered users) have limited functionality, and do not permit users to file other follow-on documents and follow-on fee payments after the initial submission of the application, reexamination request, or supplemental examination request (e.g., amendments and replies to Office actions). Note that it is improper for registered and unregistered users to file follow-on documents as new applications. The USPTO provides answers to frequently asked questions, and other helpful information on the USPTO website. Users are encouraged to check the USPTO website for more information and contact the Patent Electronic Business Center for questions related to the usage of USPTO Patent Electronic Systems. When an applicant improperly files a follow-on document as a new application via EFS-Web Contingency (or EFS-Web) and wishes the USPTO to move the follow-on document to an existing intended application, a petition under 37 CFR 1.182 accompanied by the petition fee under 37 CFR 1.17(f) will be required in the intended application.

As previously stated, EFS-Web Contingency and (EFS-Web for unregistered users) permits users to sign on as unregistered EFS-Web users to file new applications, national stage submissions under 35 U.S.C. 371 submitted with the basic national fee necessary to enter the national stage, requests for reexamination, requests for supplemental examination, and certain ePetitions. EFS-Web Contingency (and EFS-Web for unregistered users) have limited functionality, and do not permit users to file other follow-on documents and follow-on fee payments after the initial submission of the application, reexamination request, or supplemental examination request (e.g., amendments and replies to Office actions). Note that it is improper for registered and unregistered users to file follow-on documents as new applications. The USPTO provides answers to frequently asked questions, and other helpful information on the USPTO website. Users are encouraged to check the USPTO website for more information and contact the Patent Electronic Business Center for questions related to the usage of USPTO Patent Electronic Systems. When an applicant improperly files a follow-on document as a new application via EFS-Web Contingency (or EFS-Web) and wishes the USPTO to move the follow-on document to an existing intended application, a petition under 37 CFR 1.182 accompanied by the petition fee under 37 CFR 1.17(f) will be required in the intended application.

One advantage of filing a patent application via EFS-Web is that a registered user may view his or her submission in Private PAIR and file a document directly into the application file on the same day as the filing date of the application. In certain situations, applicant may correct an error by filing a missing item(s) on the same day as the filing date of the application. Applicant, however, may wish to file a new application in other certain situations.

Documents submitted through EFS-Web must be signed in accordance with 37 CFR 1.4, 1.33(b), and 11.18. Registered users who are joint inventors, or who represent less than all inventors or less than all applicants, may access their applications, but may not file documents lacking the signatures of all applicants unless specifically authorized under this framework. A sponsored support staff individual may file documents that are properly signed by the practitioner who directs and controls that individual’s work. Such a sponsored support staff individual, who is not an authorized party to sign the documents, is not responsible for the contents of the documents submitted. For all submissions through EFS-Web, the person who signs the documents (e.g., the applicant or a patent practitioner who is representing the applicant) is responsible for the contents. For example, the documents may be electronically signed or ink signed by the applicant or patent practitioner of record in accordance with 37 CFR 1.4(d). The sponsored support staff individual who serves the ministerial function of pickup and delivery of documents may submit the signed documents electronically via EFS-Web under the direction and control of the patent practitioner. (Ink signed documents can be electronically scanned and then e-filed.) This sponsored support staff individual may also view and retrieve documents from Private PAIR under the direction and control of that practitioner.

Registered and unregistered users may submit a third-party preissuance submission for any non-provisional utility, design, or plant application, including any continuing application. The application may be pending or abandoned and need not be published. To submit a third-party preissuance submission, the option “Third-Party Preissuance Submission under 37 CFR 1.290 ” must be selected. To submit a Third-Party Preissuance Submission, sign on to EFS-Web, and select the “Existing application/patent”option. The Web screen will expand to display additional options. Select the “Third-Party Preissuance Submission under 37 CFR 1.290 ” option and enter the Application Number and Confirmation Number. The Confirmation Number can be obtained by viewing the application in the PAIR System. This places the submission in a segregated area separate from the application file. After review by appropriate USPTO personnel, the submission may be placed in the application file.

Registered and unregistered users may submit a third-party preissuance submission for any non-provisional utility, design, or plant application, including any continuing application. The application may be pending or abandoned and need not be published. To submit a third-party preissuance submission, the option “Third-Party Preissuance Submission under 37 CFR 1.290 ” must be selected. To submit a Third-Party Preissuance Submission, sign on to EFS-Web, and select the “Existing application/patent”option. The Web screen will expand to display additional options. Select the “Third-Party Preissuance Submission under 37 CFR 1.290 ” option and enter the Application Number and Confirmation Number. The Confirmation Number can be obtained by viewing the application in the PAIR System. This places the submission in a segregated area separate from the application file. After review by appropriate USPTO personnel, the submission may be placed in the application file.

Registered and unregistered users may submit a third-party preissuance submission for any non-provisional utility, design, or plant application, including any continuing application. The application may be pending or abandoned and need not be published. To submit a third-party preissuance submission, the option “Third-Party Preissuance Submission under 37 CFR 1.290 ” must be selected. To submit a Third-Party Preissuance Submission, sign on to EFS-Web, and select the “Existing application/patent”option. The Web screen will expand to display additional options. Select the “Third-Party Preissuance Submission under 37 CFR 1.290 ” option and enter the Application Number and Confirmation Number. The Confirmation Number can be obtained by viewing the application in the PAIR System. This places the submission in a segregated area separate from the application file. After review by appropriate USPTO personnel, the submission may be placed in the application file.

Registered and unregistered users may submit a third-party preissuance submission for any non-provisional utility, design, or plant application, including any continuing application. The application may be pending or abandoned and need not be published. To submit a third-party preissuance submission, the option “Third-Party Preissuance Submission under 37 CFR 1.290 ” must be selected. To submit a Third-Party Preissuance Submission, sign on to EFS-Web, and select the “Existing application/patent”option. The Web screen will expand to display additional options. Select the “Third-Party Preissuance Submission under 37 CFR 1.290 ” option and enter the Application Number and Confirmation Number. The Confirmation Number can be obtained by viewing the application in the PAIR System. This places the submission in a segregated area separate from the application file. After review by appropriate USPTO personnel, the submission may be placed in the application file.

Registered and unregistered users may submit a third-party preissuance submission for any non-provisional utility, design, or plant application, including any continuing application. The application may be pending or abandoned and need not be published. To submit a third-party preissuance submission, the option “Third-Party Preissuance Submission under 37 CFR 1.290 ” must be selected. To submit a Third-Party Preissuance Submission, sign on to EFS-Web, and select the “Existing application/patent”option. The Web screen will expand to display additional options. Select the “Third-Party Preissuance Submission under 37 CFR 1.290 ” option and enter the Application Number and Confirmation Number. The Confirmation Number can be obtained by viewing the application in the PAIR System. This places the submission in a segregated area separate from the application file. After review by appropriate USPTO personnel, the submission may be placed in the application file.

Thus, the PKI authentication access system has been phased out and replaced by an authentication system in which each user must obtain his or her own credentials. A practitioner must be a registered user to sponsor support staff. Support staff for practitioners must obtain their own credentials and be sponsored by the practitioner who directs and controls the non-practitioner’s work. Credentials may only be used by the person to whom they are registered and assigned. Sharing of credentials is no longer permitted. More information on the new system may be found at the website for the Patent Electronic Business Center, located at https://www.uspto.gov/learning-and-resources/ support-centers/patent-electronic-business-center and “Authentication Change for EFS-Web and PAIR,” located at https://www.uspto.gov/ patent/authentication-changes-efs-web-and-pair.

Thus, the PKI authentication access system has been phased out and replaced by an authentication system in which each user must obtain his or her own credentials. A practitioner must be a registered user to sponsor support staff. Support staff for practitioners must obtain their own credentials and be sponsored by the practitioner who directs and controls the non-practitioner’s work. Credentials may only be used by the person to whom they are registered and assigned. Sharing of credentials is no longer permitted. More information on the new system may be found at the website for the Patent Electronic Business Center, located at https://www.uspto.gov/learning-and-resources/ support-centers/patent-electronic-business-center and “Authentication Change for EFS-Web and PAIR,” located at https://www.uspto.gov/ patent/authentication-changes-efs-web-and-pair.

Thus, the PKI authentication access system has been phased out and replaced by an authentication system in which each user must obtain his or her own credentials. A practitioner must be a registered user to sponsor support staff. Support staff for practitioners must obtain their own credentials and be sponsored by the practitioner who directs and controls the non-practitioner’s work. Credentials may only be used by the person to whom they are registered and assigned. Sharing of credentials is no longer permitted. More information on the new system may be found at the website for the Patent Electronic Business Center, located at https://www.uspto.gov/learning-and-resources/ support-centers/patent-electronic-business-center and “Authentication Change for EFS-Web and PAIR,” located at https://www.uspto.gov/ patent/authentication-changes-efs-web-and-pair.

Thus, the PKI authentication access system has been phased out and replaced by an authentication system in which each user must obtain his or her own credentials. A practitioner must be a registered user to sponsor support staff. Support staff for practitioners must obtain their own credentials and be sponsored by the practitioner who directs and controls the non-practitioner’s work. Credentials may only be used by the person to whom they are registered and assigned. Sharing of credentials is no longer permitted. More information on the new system may be found at the website for the Patent Electronic Business Center, located at https://www.uspto.gov/learning-and-resources/ support-centers/patent-electronic-business-center and “Authentication Change for EFS-Web and PAIR,” located at https://www.uspto.gov/ patent/authentication-changes-efs-web-and-pair.

Thus, the PKI authentication access system has been phased out and replaced by an authentication system in which each user must obtain his or her own credentials. A practitioner must be a registered user to sponsor support staff. Support staff for practitioners must obtain their own credentials and be sponsored by the practitioner who directs and controls the non-practitioner’s work. Credentials may only be used by the person to whom they are registered and assigned. Sharing of credentials is no longer permitted. More information on the new system may be found at the website for the Patent Electronic Business Center, located at https://www.uspto.gov/learning-and-resources/ support-centers/patent-electronic-business-center and “Authentication Change for EFS-Web and PAIR,” located at https://www.uspto.gov/ patent/authentication-changes-efs-web-and-pair.

Thus, the PKI authentication access system has been phased out and replaced by an authentication system in which each user must obtain his or her own credentials. A practitioner must be a registered user to sponsor support staff. Support staff for practitioners must obtain their own credentials and be sponsored by the practitioner who directs and controls the non-practitioner’s work. Credentials may only be used by the person to whom they are registered and assigned. Sharing of credentials is no longer permitted. More information on the new system may be found at the website for the Patent Electronic Business Center, located at https://www.uspto.gov/learning-and-resources/ support-centers/patent-electronic-business-center and “Authentication Change for EFS-Web and PAIR,” located at https://www.uspto.gov/ patent/authentication-changes-efs-web-and-pair.

Documents submitted through EFS-Web must be signed in accordance with 37 CFR 1.4, 1.33(b), and 11.18. Registered users who are joint inventors, or who represent less than all inventors or less than all applicants, may access their applications, but may not file documents lacking the signatures of all applicants unless specifically authorized under this framework. A sponsored support staff individual may file documents that are properly signed by the practitioner who directs and controls that individual’s work. Such a sponsored support staff individual, who is not an authorized party to sign the documents, is not responsible for the contents of the documents submitted. For all submissions through EFS-Web, the person who signs the documents (e.g., the applicant or a patent practitioner who is representing the applicant) is responsible for the contents. For example, the documents may be electronically signed or ink signed by the applicant or patent practitioner of record in accordance with 37 CFR 1.4(d). The sponsored support staff individual who serves the ministerial function of pickup and delivery of documents may submit the signed documents electronically via EFS-Web under the direction and control of the patent practitioner. (Ink signed documents can be electronically scanned and then e-filed.) This sponsored support staff individual may also view and retrieve documents from Private PAIR under the direction and control of that practitioner.

Applicants filing international design applications through the USPTO are required to present the international design application on the official form established by the International Bureau (i.e., Form DM/1, entitled “Application for International Registration”) or on any form having the same form and content as the official form. Form DM/1 is available on the website of the International Bureau at www.wipo.int/hague/en/forms/. The DM/1 form includes boxes for providing information concerning the applicant, applicant’s entitlement to file an international design application, the creator, product identification, designations of Contracting Parties, priority claim, description, and other relevant information.

Reproductions of industrial designs are required in international design applications and may be submitted as drawings, photographs, or a combination thereof, and may be in black and white or in color. See Rule 9 and Part Four of the Administrative Instructions for the Application of the Hague Agreement. Reproductions may be submitted through EFS-Web as PDF or JPEG files as set forth in the next paragraphs. Technical requirements regarding image files, such as resolution, minimum and maximum image size, border width, etc., are also set forth on the website of the International Bureau at www.wipo.int/hague/en/how_to/ file/prepare.html.

Certain international design application fees payable to the International Bureau may be paid through the USPTO as an office of indirect filing, provided such fees are paid no later than the date of payment of the transmittal fee. See 37 CFR 1.1031(c). Applicants are not required to pay such fees through the USPTO but rather may pay such fees directly to the International Bureau. Furthermore, any payment of such fees through the USPTO must be in U.S. dollars. Because all payments made to the International Bureau must be in Swiss currency, the U.S. dollar amount collected may, when converted to Swiss currency, be different than the required Swiss currency amount. Accordingly, applicants are cautioned that paying such fees through the USPTO may still result in a requirement by the International Bureau to pay additional amounts where the conversion from U.S. dollars to Swiss currency results in the International Bureau receiving less than the prescribed amounts. See 37 CFR 1.1031(d)

Certain international design application fees payable to the International Bureau may be paid through the USPTO as an office of indirect filing, provided such fees are paid no later than the date of payment of the transmittal fee. See 37 CFR 1.1031(c). Applicants are not required to pay such fees through the USPTO but rather may pay such fees directly to the International Bureau. Furthermore, any payment of such fees through the USPTO must be in U.S. dollars. Because all payments made to the International Bureau must be in Swiss currency, the U.S. dollar amount collected may, when converted to Swiss currency, be different than the required Swiss currency amount. Accordingly, applicants are cautioned that paying such fees through the USPTO may still result in a requirement by the International Bureau to pay additional amounts where the conversion from U.S. dollars to Swiss currency results in the International Bureau receiving less than the prescribed amounts. See 37 CFR 1.1031(d)

International fees payable to WIPO include the prescribed fees set forth under Rule 12(1) (i.e., the basic fee, standard designation fee(s), individual designation fee(s), and publication fee) and Rule 11(2) (fee for a description exceeding 100 words). The “Calculate Fees” screen of EFS-Web does not provide for individual selection of these fees but rather provides for input of one lump sum in Swiss francs. The screen includes a link to the WIPO Hague System Fee Calculator (www.wipo.int/hague/en/fees/calculator.jsp) where users can input the appropriate data concerning their international design applications, and the WIPO Fee Calculator will determine the total amount of fees required in Swiss francs. Users can then copy and paste this amount into the “International Fees Payable to WIPO (CHF)” field of the EFS-Web Calculate Fees screen, and EFS-Web will calculate the U.S. dollar amount based on current exchange rates. EFS-Web will only permit payment of the international fees that are payable to WIPO until 12 midnight Eastern Time of the date of payment of the transmittal fee required under 37 CFR 1.1031(a).

International fees payable to WIPO include the prescribed fees set forth under Rule 12(1) (i.e., the basic fee, standard designation fee(s), individual designation fee(s), and publication fee) and Rule 11(2) (fee for a description exceeding 100 words). The “Calculate Fees” screen of EFS-Web does not provide for individual selection of these fees but rather provides for input of one lump sum in Swiss francs. The screen includes a link to the WIPO Hague System Fee Calculator (www.wipo.int/hague/en/fees/calculator.jsp) where users can input the appropriate data concerning their international design applications, and the WIPO Fee Calculator will determine the total amount of fees required in Swiss francs. Users can then copy and paste this amount into the “International Fees Payable to WIPO (CHF)” field of the EFS-Web Calculate Fees screen, and EFS-Web will calculate the U.S. dollar amount based on current exchange rates. EFS-Web will only permit payment of the international fees that are payable to WIPO until 12 midnight Eastern Time of the date of payment of the transmittal fee required under 37 CFR 1.1031(a).

No follow-on submission or fee payment is required from the applicant to initiate examination of an international design application that designates the United States. Upon receipt by the Office of the WIPO publication of an international design application designating the United States, the Office will prepare the application file for examination. Registered users may, in accordance with this framework, file follow-on submissions in the international design application via EFS-Web relevant to U.S. national processing and examination. Reproductions amended pursuant to 37 CFR 1.121 may be submitted via EFS-Web as either PDF or JPEG electronic files. Any such JPEG file must be attached to the EFS-Web submission using the “Attach JPEG Reproductions” section of the “Attach Documents” EFS-Web screen. See subsection L.3, above, for JPEG file size limits and subsection L.4, above, for the limit on the number of JPEG files that may be attached in one submission.

When the online fee payment in EFS-Web is unavailable, the following types of submissions cannot be filed via EFS-Web, since online fee payment must accompany the submission:

• (1) Petitions that require a fee for auto-processing by EFS-Web;
• (2) Pre-grant publication submissions under 37 CFR 1.211 to 1.221 that require a fee;
• (3) Third-party preissuance submissions under 37 CFR 1.290 that require a fee; and
• (4) Web-based Issue Fee Payment (Web 85b).

Applications filed via EFS-Web Contingency are protected with the same level of security as EFS-Web for unregistered users by using Transport Layer Security (TLS) to encrypt transmission over the Internet. Registered users who have uploaded documents to a Saved Submission package in EFS-Web will not be able to access those Saved Submission documents through EFS-Web Contingency. Applicants can submit online fee payments by selecting fees on the fee calculation screen and completing their payment at the time of submission (i.e., choose the “Yes! I want to pay now” button rather than “No – I will pay later” button).

Applications filed via EFS-Web Contingency are protected with the same level of security as EFS-Web for unregistered users by using Transport Layer Security (TLS) to encrypt transmission over the Internet. Registered users who have uploaded documents to a Saved Submission package in EFS-Web will not be able to access those Saved Submission documents through EFS-Web Contingency. Applicants can submit online fee payments by selecting fees on the fee calculation screen and completing their payment at the time of submission (i.e., choose the “Yes! I want to pay now” button rather than “No – I will pay later” button).

Applications filed via EFS-Web Contingency are protected with the same level of security as EFS-Web for unregistered users by using Transport Layer Security (TLS) to encrypt transmission over the Internet. Registered users who have uploaded documents to a Saved Submission package in EFS-Web will not be able to access those Saved Submission documents through EFS-Web Contingency. Applicants can submit online fee payments by selecting fees on the fee calculation screen and completing their payment at the time of submission (i.e., choose the “Yes! I want to pay now” button rather than “No – I will pay later” button).

The USPTO will grant refunds to users when, due to a malfunction with the EFS-Web system, the EFS-Web system has misled a user into paying a fee in error. If it cannot be determined that a malfunction occurred, but rather it seems to be a user error, no refund will be given. Users should contact the Patent EBC if there are any issues associated with their submissions.

The USPTO will grant refunds to users when, due to a malfunction with the EFS-Web system, the EFS-Web system has misled a user into paying a fee in error. If it cannot be determined that a malfunction occurred, but rather it seems to be a user error, no refund will be given. Users should contact the Patent EBC if there are any issues associated with their submissions.

The time and date of receipt of an application filed via EFS-Web is the local time and date in USPTO headquarters in Alexandria, Virginia. Accordingly, the date of receipt of an application officially submitted through EFS-Web will be the date in the Eastern Time zone when the USPTO received the submission. As such, the submission’s “date of receipt,” as shown on the Electronic Acknowledgement Receipt, is the Eastern Time zone date that the documents are fully, successfully, and officially received at the USPTO, after the user clicks the SUBMIT button on the Confirm and Submit screen. See 37 CFR 1.6(a)(4). This date is controlling for filing date purposes of a newly filed application. There is no “certificate of transmission” practice for new application filings (37 CFR 1.8).

The time and date of receipt of an application filed via EFS-Web is the local time and date in USPTO headquarters in Alexandria, Virginia. Accordingly, the date of receipt of an application officially submitted through EFS-Web will be the date in the Eastern Time zone when the USPTO received the submission. As such, the submission’s “date of receipt,” as shown on the Electronic Acknowledgement Receipt, is the Eastern Time zone date that the documents are fully, successfully, and officially received at the USPTO, after the user clicks the SUBMIT button on the Confirm and Submit screen. See 37 CFR 1.6(a)(4). This date is controlling for filing date purposes of a newly filed application. There is no “certificate of transmission” practice for new application filings (37 CFR 1.8).

The time and date of receipt of an application filed via EFS-Web is the local time and date in USPTO headquarters in Alexandria, Virginia. Accordingly, the date of receipt of an application officially submitted through EFS-Web will be the date in the Eastern Time zone when the USPTO received the submission. As such, the submission’s “date of receipt,” as shown on the Electronic Acknowledgement Receipt, is the Eastern Time zone date that the documents are fully, successfully, and officially received at the USPTO, after the user clicks the SUBMIT button on the Confirm and Submit screen. See 37 CFR 1.6(a)(4). This date is controlling for filing date purposes of a newly filed application. There is no “certificate of transmission” practice for new application filings (37 CFR 1.8).

The time and date of receipt of an application filed via EFS-Web is the local time and date in USPTO headquarters in Alexandria, Virginia. Accordingly, the date of receipt of an application officially submitted through EFS-Web will be the date in the Eastern Time zone when the USPTO received the submission. As such, the submission’s “date of receipt,” as shown on the Electronic Acknowledgement Receipt, is the Eastern Time zone date that the documents are fully, successfully, and officially received at the USPTO, after the user clicks the SUBMIT button on the Confirm and Submit screen. See 37 CFR 1.6(a)(4). This date is controlling for filing date purposes of a newly filed application. There is no “certificate of transmission” practice for new application filings (37 CFR 1.8).

The time and date of receipt of an application filed via EFS-Web is the local time and date in USPTO headquarters in Alexandria, Virginia. Accordingly, the date of receipt of an application officially submitted through EFS-Web will be the date in the Eastern Time zone when the USPTO received the submission. As such, the submission’s “date of receipt,” as shown on the Electronic Acknowledgement Receipt, is the Eastern Time zone date that the documents are fully, successfully, and officially received at the USPTO, after the user clicks the SUBMIT button on the Confirm and Submit screen. See 37 CFR 1.6(a)(4). This date is controlling for filing date purposes of a newly filed application. There is no “certificate of transmission” practice for new application filings (37 CFR 1.8).

Users that do not have, or do not wish to use, a Patent Electronic System Account to authenticate to the USPTO, may submit new application filings via a non-authenticated workflow as an unregistered user. The user would go to the EFS-Web page and choose to submit without a Patent Electronic System Account as an unregistered user, which would generate a TLS connection for the session, thus allowing secure data transmission to the USPTO. Unregistered users have the same level of protection for filing as a registered user, but are limited to submission of initial filings (except as noted in section B1). This practice minimizes the risk of improperly-filed third party submissions and other documents. Unregistered users may file follow-on documents by mail (with a certificate of mailing in accordance with 37 CFR 1.8), by Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10, or by hand delivery.

Color drawings and photographs (in black and white or in color) may be submitted in international design applications as provided under section 401 of the Administrative Instructions for the Application of the Hague Agreement. See subsection N for additional information concerning international design applications.

EFS-Web enables registered and unregistered users to electronically file new international design applications through the USPTO as an office of indirect filing. To submit an international design application through EFS-Web, users must select “International Design Application (Hague) for filing through the USPTO as an office of indirect filing” after selecting “New application/proceeding” on the main EFS-Web screen. The following documents should be included in new international design application submissions:

EFS-Web enables registered and unregistered users to electronically file new international design applications through the USPTO as an office of indirect filing. To submit an international design application through EFS-Web, users must select “International Design Application (Hague) for filing through the USPTO as an office of indirect filing” after selecting “New application/proceeding” on the main EFS-Web screen. The following documents should be included in new international design application submissions:

In accordance with the requirements of this framework, only registered users may file follow-on submissions via EFS-Web in international design applications.

The available document descriptions and fees that may be paid through EFS-Web will differ depending on the stage of processing of the international design application. After transmittal of the international design application to the International Bureau has occurred, the document descriptions and fees that may be paid through EFS-Web include those that would be relevant for U.S. national processing and examination. Follow-on submissions filed after transmittal of the international design application to the International Bureau but prior to WIPO publication of the international design application designating the United States will generally be presumed to have been intended for consideration by the USPTO acting as an examining office for the application. Accordingly, action by the Office on any such submission will generally be taken after receipt of the WIPO publication of the international design application designating the United States.

No follow-on submission or fee payment is required from the applicant to initiate examination of an international design application that designates the United States. Upon receipt by the Office of the WIPO publication of an international design application designating the United States, the Office will prepare the application file for examination. Registered users may, in accordance with this framework, file follow-on submissions in the international design application via EFS-Web relevant to U.S. national processing and examination. Reproductions amended pursuant to 37 CFR 1.121 may be submitted via EFS-Web as either PDF or JPEG electronic files. Any such JPEG file must be attached to the EFS-Web submission using the “Attach JPEG Reproductions” section of the “Attach Documents” EFS-Web screen. See subsection L.3, above, for JPEG file size limits and subsection L.4, above, for the limit on the number of JPEG files that may be attached in one submission.

Follow-on documents are any documents filed after the initial submission of the application, request for reexamination, or request for supplemental examination. Follow-on documents include, but are not limited to, the following: amendments, information disclosure statements (IDS), replies to Office actions and notices, evidence, petitions, and terminal disclaimers. Follow-on documents also include any documents submitted on the same day as the application, but after the initial submission. In addition, registered users may file a copy of a patent application (e.g., a copy of the amended specification including the claims, and drawings) for the purposes of publication of the application when filed with any of the following pre-grant (eighteen-month) publication requests via EFS-Web: amended publication under 37 CFR 1.215(c), redacted publication under 37 CFR 1.217, early publication under 37 CFR 1.219, and voluntary publication or republication under 37 CFR 1.221(a). See section G for more information on filing these publication requests via EFS-Web. In reexamination proceedings, both the reexamination requester and the patent owner may file documents via EFS-Web, if they are registered users. Registered users may also file a second or subsequent submission for patent term extension under 35 U.S.C. 156 in a patent file via EFS-Web.

Follow-on documents are any documents filed after the initial submission of the application, request for reexamination, or request for supplemental examination. Follow-on documents include, but are not limited to, the following: amendments, information disclosure statements (IDS), replies to Office actions and notices, evidence, petitions, and terminal disclaimers. Follow-on documents also include any documents submitted on the same day as the application, but after the initial submission. In addition, registered users may file a copy of a patent application (e.g., a copy of the amended specification including the claims, and drawings) for the purposes of publication of the application when filed with any of the following pre-grant (eighteen-month) publication requests via EFS-Web: amended publication under 37 CFR 1.215(c), redacted publication under 37 CFR 1.217, early publication under 37 CFR 1.219, and voluntary publication or republication under 37 CFR 1.221(a). See section G for more information on filing these publication requests via EFS-Web. In reexamination proceedings, both the reexamination requester and the patent owner may file documents via EFS-Web, if they are registered users. Registered users may also file a second or subsequent submission for patent term extension under 35 U.S.C. 156 in a patent file via EFS-Web.

Follow-on documents are any documents filed after the initial submission of the application, request for reexamination, or request for supplemental examination. Follow-on documents include, but are not limited to, the following: amendments, information disclosure statements (IDS), replies to Office actions and notices, evidence, petitions, and terminal disclaimers. Follow-on documents also include any documents submitted on the same day as the application, but after the initial submission. In addition, registered users may file a copy of a patent application (e.g., a copy of the amended specification including the claims, and drawings) for the purposes of publication of the application when filed with any of the following pre-grant (eighteen-month) publication requests via EFS-Web: amended publication under 37 CFR 1.215(c), redacted publication under 37 CFR 1.217, early publication under 37 CFR 1.219, and voluntary publication or republication under 37 CFR 1.221(a). See section G for more information on filing these publication requests via EFS-Web. In reexamination proceedings, both the reexamination requester and the patent owner may file documents via EFS-Web, if they are registered users. Registered users may also file a second or subsequent submission for patent term extension under 35 U.S.C. 156 in a patent file via EFS-Web.

Follow-on documents are any documents filed after the initial submission of the application, request for reexamination, or request for supplemental examination. Follow-on documents include, but are not limited to, the following: amendments, information disclosure statements (IDS), replies to Office actions and notices, evidence, petitions, and terminal disclaimers. Follow-on documents also include any documents submitted on the same day as the application, but after the initial submission. In addition, registered users may file a copy of a patent application (e.g., a copy of the amended specification including the claims, and drawings) for the purposes of publication of the application when filed with any of the following pre-grant (eighteen-month) publication requests via EFS-Web: amended publication under 37 CFR 1.215(c), redacted publication under 37 CFR 1.217, early publication under 37 CFR 1.219, and voluntary publication or republication under 37 CFR 1.221(a). See section G for more information on filing these publication requests via EFS-Web. In reexamination proceedings, both the reexamination requester and the patent owner may file documents via EFS-Web, if they are registered users. Registered users may also file a second or subsequent submission for patent term extension under 35 U.S.C. 156 in a patent file via EFS-Web.

Follow-on documents are any documents filed after the initial submission of the application, request for reexamination, or request for supplemental examination. Follow-on documents include, but are not limited to, the following: amendments, information disclosure statements (IDS), replies to Office actions and notices, evidence, petitions, and terminal disclaimers. Follow-on documents also include any documents submitted on the same day as the application, but after the initial submission. In addition, registered users may file a copy of a patent application (e.g., a copy of the amended specification including the claims, and drawings) for the purposes of publication of the application when filed with any of the following pre-grant (eighteen-month) publication requests via EFS-Web: amended publication under 37 CFR 1.215(c), redacted publication under 37 CFR 1.217, early publication under 37 CFR 1.219, and voluntary publication or republication under 37 CFR 1.221(a). See section G for more information on filing these publication requests via EFS-Web. In reexamination proceedings, both the reexamination requester and the patent owner may file documents via EFS-Web, if they are registered users. Registered users may also file a second or subsequent submission for patent term extension under 35 U.S.C. 156 in a patent file via EFS-Web.

Unregistered users cannot file documents after the initial submission via EFS-Web, except for ePetitions to make special based on age and ePetitions to accept an unintentionally delayed payment of a maintenance fee. Unregistered users may file follow-on documents by mail (with a certificate of mailing in accordance with 37 CFR 1.8), Priority Mail Express ® from the USPS in accordance with 37 CFR 1.10, or hand-delivery.

When the USPTO successfully receives PDF documents filed in accordance with the EFS-Web requirements, the USPTO will convert the PDF files submitted by users into Tagged Image File Format (TIFF) image files and then store the TIFF image files in the IFW as part of the official record, in addition to those drawings which are stored in the Supplemental Complex Repository for Examiners (SCORE) as part of the official record (i.e., color and grayscale drawings and drawings submitted in design applications). The USPTO also will store JPEG drawing files successfully received in international design applications in accordance with the EFS-Web requirements in SCORE as part of the official record. In addition, certain submissions filed as ASCII plain text files (e.g., sequence listings or computer program listings), are stored in SCORE as part of the official record. Accordingly, the official record for the patent application, international design application, reexamination proceeding, or supplemental examination proceeding comprises:

• (1) ASCII text documents and drawings stored in SCORE as previously set forth;
• (2) TIFF images of all other original documents as stored in IFW;
• (3) The Electronic Acknowledgement Receipt and the Electronic Patent Application Fee Transmittal, both of which contain information entered via the EFS-Web graphical user interface (GUI) data collection interfaces; and
• (4) TIFF images stored in IFW in international design applications generated from XML data received from the International Bureau.

When applicants are required to submit drawings in patent applications, black and white line drawings as prescribed in 37 CFR 1.84(a)(1) are required except as follows. Pursuant to 37 CFR 1.84(a)(2), color drawings are permitted in design applications filed under 35 U.S.C. chapter 16. As stated in 37 CFR 1.84(a)(2) color drawings are not ordinarily permitted in utility patent applications, and as stated in 37 CFR 1.84(b), photographs are not ordinarily permitted in utility or design patent applications, but the USPTO will accept photographs in utility or design patent applications, or color drawings in utility patent applications, if they are the only practicable medium for illustrating the claimed subject matter. The photographs and color drawings submitted in utility or design patent applications must be of sufficient quality such that all details in the photographs and drawings are reproducible in black and white in the printed patent.