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Filing Documents For Pre-Grant Publication Quick Start Guide EFS-Web (Updated June 23, 2008) United States Patent and Trademark Office Commissioner for Patents P.O. Box 1450 Alexandria, VA 22313-1450 Introduction EFS-Web is the United States Patent and Trademark Office’s (USPTO’s) easy-touse, web-based patent application and document filing system. This overview will explain the application process by explaining and demonstrating how to electronically file a Pre-Grant Publication submission i.e., requests for voluntary publication, republication, amended publication, or redacted publication through EFS-Web. For more information about Pre-Grant Publication see MPEP 1120-1135 and 37 CFR 1.211 -1.221. How to electronically file your Pre-Grant Publication submission EFS-Web only accepts Portable Document Format (PDF) (.pdf) and text (.txt) files for Pre-Grant Publication submissions i.e., requests for voluntary publication, republication, amended publication, or redacted publication. Text files are accepted only for sequence listings, computer program listings, and tables in text format. Unlike most EFS-Web submissions, Pre-Grant Publication submissions do not become part of the image file wrapper, as they are used only for creating the publication. Pre-Grant Publication submissions can be filed by a registered e-Filer only. A copy of the application including the fillable application data sheet must be submitted via EFS-Web, as a “Pre-Grant Publication under 37 CFR 1.211-1.221 and pass electronic application review to be in compliance with the Office’s electronic filing system requirements. Electronic application review is a review performed in the Office of Data Management for Pre-Grant Publication submissions, which is a separate review from the EFS-Web review and is done to determine if the submission is complete and complies with the pertinent rules. See 37 CFR 1.2111.221. Steps the e-Filer will take to submit a copy of the application for Pre-Grant Publication: 1. Log-in as a registered e-Filer 2. Choose Existing Application/Patent 3. Choose Pre-Grant Publication under 37 CFR 1.211 to 1.221. Note: If the e-Filer does not choose "Pre-Grant Publication under 37 CFR 1.211 to 1.221" and instead chooses "Documents/Fees for an existing application", the submission will not be put into the queue for electronic application review and publication by the Office. The submission will be entered into the image file wrapper as a document and it will be rejected when it is reviewed, as being improperly filed. The e-Filer will then be required to resubmit the application using the proper procedure. In 01 United States Patent and Trademark Office Commissioner for Patents P.O. Box 1450 Alexandria, VA 22313-1450 addition, any processing fees that have been paid will be retained by USPTO. 4. The e-Filer is required to enter the application number, confirmation number, and type of Pre-Grant Publication submission. i. “Original-publication – Amended” for an original publication ii. “Original-publication – Redacted” for an original redacted publication iii. “Republication – Amended” for republishing an application iv. “Voluntary” for publishing an application that is not subject to publication, for applications filed prior to November 29, 2000 5. Attach files: When filing a Pre-Grant Publication submission, the e-Filer is required to file the necessary parts of the application to create the publication, for example a specification, claims, abstract, any necessary drawings or sequence listing and the EFS-Web fillable Application Data Sheet (SB14). If the specification, claims and abstract files and EFS-Web fillable Application Data Sheet are not attached, EFS-Web will not allow the e-Filer to proceed. Note: While EFS-Web may accept a Pre-Grant Publication submission without a sequence listing or drawings, if one or both of these elements is part of the application and not attached, the submission will fail electronic application review. Once all of the files are attached and validated, the e-Filer will continue to the Calculate Fees screen. 6. Calculate Fees: EFS-Web automatically provides the Pre-Grant Publication fee that is due based on the type of Pre-Grant Publication selected. Note: If an applicant attempts to file a Pre-Grant Publication submission for an amended publication before the application has been published but after the application has been exported to the publisher, the submission will be treated as a request for republication during electronic application review and the submission will be rejected for failure to pay the publication fee and processing fee as required. This fee is calculated from the selection chosen on the login screen. After reviewing the fees, the e-Filer will continue to the Confirm/Pay screen. 7. Confirm/Pay: e-Filer is given a chance to review all attachments and fees before paying for the submission. e-Filer will click Confirm/Pay and proceed to the payment screens. Pre-Grant Publication fees, if required must be paid at time of filing the submission. The e-Filer will not receive an acknowledgement receipt until the fees have been paid using a deposit account, credit card, or electronic funds transfer. 02 United States Patent and Trademark Office Commissioner for Patents P.O. Box 1450 Alexandria, VA 22313-1450 Redacted Publication: A request for redacted publication must include a timely filed copy of the application in compliance with the Office electronic filing system requirements and additionally comply with the other requirements of 37 CFR 1.217. For more information see MPEP 1132 and Changes to Implement EighteenMonth Publication of Patent Applications, 65 FR 57023 (Sept. 20, 2000), 1239 Off. Gaz. Pat. Office Notices 63 (Oct. 10, 2000) (final rule). Corrected Publication: A request for corrected publication may be submitted via EFS-Web, but it is not submitted as a Pre-Grant Publication submission, as it is a document that will become a part of the image file wrapper. It must be submitted by selecting “Document/Fees for an existing application” as the application type and then selecting “Request/Corrected Patent Application Publications” as the Document Description. The following are screenshots showing the steps to file a Pre-Grant Publication submission in EFS-Web. 03 United States Patent and Trademark Office Commissioner for Patents P.O. Box 1450 Alexandria, VA 22313-1450 Steps to filing a Pre-Grant Publication submission in EFS-Web 1. Open https://sportal.uspto.gov/authenticate/AuthenticateUserLocalEPF.html in a web browser 2. Login to EFS-Web 3. Choose Existing application/patent radio button 02 United States Patent and Trademark Office Commissioner for Patents P.O. Box 1450 Alexandria, VA 22313-1450 4. Choose Pre-Grant Publication under 37 CFR 1.211 to 1.221 radio button 5. Enter the application number, confirmation number, and choose the type of Pre-Grant Publication 03 United States Patent and Trademark Office Commissioner for Patents P.O. Box 1450 Alexandria, VA 22313-1450 6. Attach the required documents (Specification, claims, abstract, any necessary drawings or sequence listing, and the USPTO fillable application data sheet (SB/14)). For redacted publication submissions see 37 CFR 1.217. 7. Fees will be automatically calculated. Fee is determined by Pre-Grant Publication type chosen in Step 5. 04 United States Patent and Trademark Office Commissioner for Patents P.O. Box 1450 Alexandria, VA 22313-1450 8. Review all attached files and submit 9. Pay any fees due 05 United States Patent and Trademark Office Commissioner for Patents P.O. Box 1450 Alexandria, VA 22313-1450 10. Upon paying fees (if due), an Acknowledgement Receipt will be generated 99999999 9999 This is my title of invention John Q. Patent 99111 Jane C. Patent Test1234.5 16-FEB-2001 06 United States Patent and Trademark Office Commissioner for Patents P.O. Box 1450 Alexandria, VA 22313-1450