FGTI's Electronic Patent Filing Program

1. FGTI's Electronic Patent Filing Program Damian Porcari a subsidiary of

2. FGTI’s experience • Began filing US electronic applications September 2000 • Filed 200+ electronic US applications, more than any other company • 10% of all US electronic applications • 4 patents issued (avg. 6 months) • Filed 25 electronic EP applications

3. Why File Electronically? • Instant Serial Number and Filing Date • Accurate Filing Receipt • Easy Multi-party Assignments • Redacted Publications • Publication of amendments • Preliminary amendment entered as a substitute specification • Speedy Issuance • Electronic copy of specification for secondary filing or document management software

4. Reasons not to file electronically • Complex Work Units (CWUs) are difficult to create • Excludes PCT and Design Applications • Provisional Applications with many non-text components • Special (crash prone) software needed • Firewall problems • Tedious image requirements • Unable to link ePAVE to docketing database

5. FGTI E-Filing Process Attorney or administrator creates a Word document of the application

6. FGTI E-Filing Process Draftsman prepares drawings (about 10% electronic format, remainder scanned)

7. FGTI E-Filing Process Attorney and Inventors approve final draft of application (usually through email)

8. FGTI E-Filing Process Scan drawings and other items

9. FGTI E-Filing Process Electronic Filing Specialist converts MS Word document to s4w and then XML

10. FGTI E-Filing Process Validate document and correct errors

11. FGTI E-Filing Process ePAVE Docketing database Re-enter filing information from docketing database to ePAVE

12. FGTI E-Filing Process Fix inevitable problems

13. FGTI E-Filing Process Print final XML version of application

14. FGTI E-Filing Process Attorney consent to e-file application

15. FGTI E-Filing Process Electronic Filing Specialist E-signs on behalf of applicant (Ford) and files application

16. FGTI E-Filing Process Receive serial number, update docketing database and prepare paper folder

17. Images - The Achilles Heel • Should be vertical • One figure per sheet (improves future linking) • Drawings and other images must be: • TIFF • Black & White • Group 4 compression • 300x300 dpi resolution

18. Images • Should be in same directory as specification • Drawings are not imbedded into S4W or XML files • ePAVE uses absolute not relative links • Complex Work Units • Equations and some tables • Group CWUs to simplify application • A figure with a list of numbered or lettered equations

19. Images • Acceptable Imaging Programs • MS Photo Editor (only works for single sheet images) • PaperPort • Unacceptable Imaging Programs • MS Imaging for Windows (Kodak) (others report that this program works for them) • Adobe Photoshop

20. Images • FGTI also requires uncropped drawings (multi-page PDF format). • Used for • Secondary filing • Inventor review • Translation (flowcharts)

21. Images - Hardcore • TifInfo (http://www.patents.com/efs/#tif) C:\EFS>tiffinfo d:\sensorsolutions\p001\fig15.tif d:\sensorsolutions\p001\fig15.tif: Warning, unknown field with tag 32934 (0x80a6) ignored. TIFF Directory at offset 0x8 Subfile Type: (0 = 0x0) Image Width: 2300 Image Length: 1296 Resolution: 300, 300 pixels/inch Bits/Sample: 1 Compression Scheme: CCITT Group 4 Photometric Interpretation: min-is-white FillOrder: msb-to-lsb Software: "Oi/GFS, writer v00.06.00P, (c) Wang Labs, Inc. 1990, 1991" Orientation: row 0 top, col 0 lhs Samples/Pixel: 1 Rows/Strip: 110 Planar Configuration: single image plane Group 4 Options: (0 = 0x0) C:\EFS>

22. PASAT Problems PASAT abc  • Not WYSIWYG • Claim linking doesn’t work (not required by PTO) • Conflicts with Normal.dot template (need to delete that and other Word templates)

23. PASAT Problems • Crash prone • Spell check causes crashes • save early, save often

24. PASAT Problems • Hard to edit XML after conversion • FGTI keeps a .doc version for editing, secondary filing and amendments

25. PASAT Problems • Jumbles characters • Inserts often go astray • Inserts formatting characters • Some recommend unformatted text inserts

26. PASAT Problems PASAT  • Many symbols are not supported • Spaces are not allowed in file names • (Undocumented problem)

27. PASAT Tips • Use standalone PCs when possible • Start with one or two e-filing experts • PASAT requires a claim for a provisional • Drawings and figures need not be linked • Pre-configure PCs with needed plug-ins (AlternaTIFF)

28. ePAVE Tips • FGTI had few problems until recent upgrade to Windows 2000 • Read manual (313 pages) • Requires AlternaTIFF v. 1.3.5 or higher • 10 meg total file limit • Possible to save template for common assignees or inventors • Record assignment separate from application

29. PAIR Tips • Public and private sites • Private site contain list of file contents • Future version will show image of document similar to EPOline • Requires open port 443 and PKI certificate • Link all law firm customer numbers to one PKI certificate so you can see the status of any pending application

30. Customer Numbers • Need one customer number for each law firm • Mail is sent to the address associated with the customer number • Declaration should be changed to authorize attorneys and agents associated with the customer number • Need to periodically update associated attorneys and agents

31. Working with Outside Counsel “How shall I torture you today? Put you on the rack? Boil you in oil? No, I know. I’ll make you file an electronic patent application!”

32. Working with Outside Counsel • Common document management system (e-mails are too big) • Deliver s4w and doc files • Clear instructions (written procedures) • Identical file and directory naming convention

33. Bottom Line • Easy applications (no CWUs) require about the same time as copying and mailing a paper application (more skills required) • Difficult applications take 2 to 3 additional hours • No filing receipt errors • Instant serial number and filing date • All electronic file for secondary cases

34. Technical Issues • Firewall • ePAVE and PAIR require an open port 443 • Opening port 443 limited to USPTO IP address (which may change) • Theoretically possible to spoof USPTO IP address • FGTI uses dial-up connection

35. Technical Issues • Network • Possible to configure PASAT to work with network file server for file storage • Not possible to utilize document management software (database) for file storage • PC Hardware • Windows 2000 crashes less (others report it crashes more) • 256 Meg RAM • Scanner, low resolution scanner (300 dpi) • Ford’s Normal.dot template contains macros that conflict with PASAT. We had to delete this template lost our standard letterhead and other macros.

36. EPO E-Filing • Requires Smart Card and reader • Application has four sections: • Description, Claims, Abstract, Drawings • All created using PDF • Immediately obtain filing date and application number • Software not buggy

37. The future of E-filing • PASAT and TAS must be improved or replaced • Must be able to edit XML documents • CWUs must be easier to create • Drawings should be imbedded • PTO must support multi-page images • Better support for e-signatures • ePAVE must link to docketing systems • Eliminate prior art patents and certified copies

38. Other Resources • USPTO (www.uspto.gov) • Oppedahl & Larson LLP (www.patents.com) • EFS Discussion Group (To join, send email to imailsrv@patents.com and in the body of the message, say “subscribe Your Name”) • David Hendrickson & Associates Drawing Issues (http://www.dhdraw.com/help/tutorials/efs_tiff.htm) • Multiple Profiles for USPTO Direct (http://www.patents.com/efs/second.htm) • EPO Online (http://www.epoline.org/onlinefilingdocs/eOFL_help_English.doc) • The EPO electronic filing program has been commented on by EP Patent Attorneys (EPI) (http://www.patentepi.com/english/200/220/222) • EPI Journal (http://www.patentepi.com/data/epi0401.pdf) see page 144. • Gif to Tif file conversion program (http://www.gold-software.com/abc.shtml)