[Federal Register Volume 75, Number 96 (Wednesday, May 19, 2010)]
[Notices]
[Pages 27986-27987]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-11906]


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DEPARTMENT OF COMMERCE

United States Patent and Trademark Office

[Docket No.: PTO-P-2010-0040]


Electronic Filing System--Web (EFS-Web) Contingency Option

AGENCY: United States Patent and Trademark Office, Commerce.

ACTION: Notice.

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SUMMARY: The United States Patent and Trademark Office (USPTO) is 
increasing the availability of its patent electronic filing system, 
Electronic Filing System--Web (EFS-Web) by providing a new contingency 
option when the primary portal to EFS-Web has an unscheduled outage. 
Previously, the entire EFS-Web system is not available to the users 
during such an outage. The contingency option in EFS-Web will permit 
users to sign-on as unregistered EFS-Web users to file new 
applications, national stage submissions under the Patent Cooperation 
Treaty (PCT) submitted with the basic national fee necessary to enter 
the national stage, requests for reexamination, and certain petitions, 
during an unscheduled outage of the primary portal to EFS-Web.

DATES: Effective Date: May 19, 2010.

FOR FURTHER INFORMATION CONTACT: Joni Y. Chang, Senior Legal Advisor, 
Office of Patent Legal Administration, Office of the Associate 
Commissioner for Patent Examination Policy, by telephone at 571-272-
7720, or by mail addressed to: Mail Stop Comments Patents, Commissioner 
for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
    Inquiries regarding EFS-Web and other USPTO information technology 
(IT) systems may be directed to the Patent Electronic Business Center 
(Patent EBC), by telephone: 1-866-217-9197 (toll-free) and 571-272-
4100, or by e-mail: [email protected].
    Inquiries regarding IT policy for U.S. national patent applications 
may be directed to Mark Polutta, Senior Legal Advisor, Office of Patent 
Legal Administration, by telephone at 571-272-7709.
    Inquiries regarding IT policy for international patent applications 
may be directed to Tamara Graysay, Special Program Examiner, Office of 
Patent Cooperation Treaty (PCT) Legal Administration, by telephone at 
571-272-6728.

SUPPLEMENTARY INFORMATION: The USPTO is increasing the availability of 
EFS-Web by providing a new contingency option in EFS-Web when the 
primary portal to EFS-Web has an unscheduled outage. Currently, 
approximately eighty-seven percent of new patent applications are being 
electronically filed via EFS-Web. Applicants experience many benefits 
from filing their applications and follow-on documents electronically. 
For example, applicants promptly receive an electronic acknowledgment 
receipt of their electronic submissions and have the ability to review 
their applications or documents via the Patent Application Information 
Retrieval (PAIR) system within an hour after the USPTO receives the 
electronic submissions. Furthermore, independent inventors and other 
small entity applicants who file their applications electronically via 
EFS-Web receive a discount on the basic filing fee. Previously, when 
the primary portal to EFS-Web is unavailable during an unscheduled 
outage, the entire EFS-Web system is unavailable to users. The new 
contingency option in EFS-Web will minimize any inconvenience to users 
who wish to file a new application during an unscheduled outage of the 
primary portal to EFS-Web.

I. EFS-Web Contingency Option

    Effective immediately, the USPTO will provide EFS-Web Contingency 
Option to users to file new applications, national stage submissions 
under 35 U.S.C. 371, requests for reexamination, 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 Option on the EFS-Web Internet page (http://www.uspto.gov/patents/process/file/efs/index.jsp). The EFS-Web Contingency Option 
will have the same functionality as EFS-Web for unregistered e-filers 
(https://sportal.uspto.gov/secure/portal/efs-unregistered). It will 
permit 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, and certain petitions. However, other 
follow-on documents and fee payments filed after the initial submission 
of the application or reexamination request (e.g., amendments and 
replies to Office actions) cannot be filed using EFS-Web Contingency 
Option.
    Specifically, EFS-Web Contingency Option will only permit users to 
electronically file the following items as unregistered EFS-Web users:
    1. Provisional patent applications under 35 U.S.C. 111(b);
    2. Nonprovisional utility patent applications under 35 U.S.C. 
111(a) (including reissue utility patent applications);
    3. Nonprovisional design patent applications under 35 U.S.C. 171 
(including reissue design patent applications);
    4. International applications under PCT Article 11 for filing in 
the United States Receiving Office;
    5. National stage submissions under 35 U.S.C. 371 submitted with 
the basic national fee necessary to enter the national stage;
    6. Requests for ex parte reexamination under 35 U.S.C. 302 for 
utility or design patents;
    7. Requests for inter partes reexamination under 35 U.S.C. 311 for 
utility or design patents;
    8. Petitions to make special based on age under 37 CFR 1.102(c) 
when filed as an e-petition using the EFS-Web SB130 form, for the 
automatic processing of the e-petition (for more information see http://www.uspto.gov/ebc/portal/efs/sb130_instructions.doc);
    9. Petitions to accept an unintentionally delayed payment of 
maintenance fee under 37 CFR 1.378(c) when filed as an e-petition using 
the EFS-Web SB66 form, for the automatic processing of the e-petition 
(for more information see http://www.uspto.gov/ebc/portal/efs/sb0066e_fill.doc); and
    10. 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)).
    Documents filed via EFS-Web Contingency Option as part of the 
submissions listed above 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 Option. Similar to EFS-

[[Page 27987]]

Web, EFS-Web Contingency Option 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 
Option. Applicant will not be required to, and should not, resubmit the 
application or document 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.
    Applications filed via EFS-Web Contingency Option are protected 
with the same level of security as EFS-Web for unregistered e-filers by 
using Transport Layer Security (TLS) to encrypt transmission over the 
Internet. Registered e-filers who have uploaded documents to a Saved 
Submission package in EFS-Web will not be able to access those Saved 
Submission documents in EFS-Web Contingency Option. Applicants can 
submit on-line fee payments by selecting fees on the fee calculation 
screen and completing their payment at time of submission (i.e., chose 
the ``Yes! I want to pay now'' button rather than ``No--I will pay 
later'' button).
    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, and reexamination requests, 
by hand-delivery to the USPTO, or ``Express Mail'' from the United 
States Postal Service (USPS) in accordance with 37 CFR 1.10, to 
establish the filing date or national stage entry date. See Legal 
Framework for Electronic Filing System--Web (EFS-Web), 74 FR 55200, 
55204 (October 27, 2009) (notice), and Revised Legal Framework for EFS-
Web (http://www.uspto.gov/patents/process/file/efs/guidance/New_legal_framework.jsp) (Section C3). New applications, national stage 
submissions under 35 U.S.C. 371 submitted with the basic national fee 
necessary to enter the national stage, and reexamination requests 
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 listed above. 
Applicants may file the documents or fee payments by: (1) Facsimile 
transmission, (2) first class mail with a certificate of mailing in 
accordance with 37 CFR 1.8, (3) hand-delivery to the USPTO, or (4) 
``Express Mail'' 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.

II. Improperly Filed Follow-on Documents

    As previously stated, EFS-Web Contingency Option and EFS-Web for 
unregistered e-filers permit 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 and certain petitions. 
Unfortunately, EFS-Web Contingency and EFS-Web for unregistered e-
filers have limited functionality, which do not permit users to file 
other follow-on documents and follow-on fee payments after the initial 
submission of the application or reexamination request (e.g., 
amendments and replies to Office actions). Accordingly, it will be 
improper for users to file follow-on documents as new applications. The 
USPTO will continue to provide answers to frequently asked questions, 
and other helpful information on the USPTO Web site. Users are 
encouraged to check the USPTO Web site for more information and contact 
the Patent Electronic Business Center for questions related to the 
usage of USPTO electronic systems.

III. Additional Information Regarding National Stage Submissions

    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 Option using on-line payment screens that interface with 
the Revenue Accounting and Management (RAM) system. If the RAM system 
is unavailable, neither EFS-Web nor EFS-Web Contingency Option will 
permit users to make payment using the interactive payment screens. 
Applicant may pay the necessary national stage entry fees by including 
a written authorization to charge the desired fees together with the 
national stage submission under 35 U.S.C. 371, or sending the payment 
via ``Express Mail'' from the USPS in accordance with 37 CFR 1.10 on 
the same date that the national stage submission is electronically 
filed.
    For any national stage submissions under 35 U.S.C. 371 filed via 
the EFS-Web or EFS-Web Contingency Option, the system automatically 
checks the Patent Application Locating and Monitoring (PALM) system to 
verify that no previous national stage submission has been made for the 
particular PCT international application referenced in the initial 
national stage submission. If the PALM system is unavailable, neither 
EFS-Web nor EFS-Web Contingency Option can complete the PALM 
verification, and thus EFS-Web and EFS-Web Contingency Option will not 
permit any national stage submissions under 35 U.S.C. 371 to be filed. 
Therefore, if PALM is unavailable, applicants may use hand-delivery or 
``Express Mail'' from the USPS in accordance with 37 CFR 1.10 to timely 
submit documents and fees for national stage entry. However, applicants 
may not file national stage submissions under 35 U.S.C. 371 and the 
basic national fee necessary to enter the national stage via facsimile 
transmission. See 37 CFR 1.6(d)(3) and 1.8(a)(2)(i)(F).

    Dated: May 12, 2010.
David J. Kappos,
Under Secretary of Commerce for Intellectual Property and Director of 
the United States Patent and Trademark Office.
[FR Doc. 2010-11906 Filed 5-18-10; 8:45 am]
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