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USPTO

Image File Wrapper (IFW)Processing

Paula HutzellPractice Specialist, TC 1600

(571) 272-0531 paula.hutzell@uspto.gov

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USPTO

IFW is…An Electronic Version of the Paper Patent Application File Wrapper

Created by Scanning all Papers in the File Wrapper Using European Patent Office’s (EPO) ePhoenix Software or by Electronic Filing System

Accessible via: eDAN (electronic Desktop Application Navigator)

EPO’s MADRAS Interface

Private PAIR

Public PAIR

What is an Image File Wrapper (IFW)?

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USPTO

Accessing the Image File Wrapper

Patent eDAN(electronic Desktop Application Navigator)

MADRAS

USPTO createdinterface, linked to PALM & RAMTailored for Patent Examiners’ use

EPO developed interface

Public Pair Access to Patents and Published Applications

Private PAIRAccess to unpublished application by owner

IFW (Image File Wrapper): Database of Patent application images created by scanning paper applications using EPO’s ePhoenix software

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USPTO

IFW Benefits

Allows access by multiple areas of the USPTO simultaneously Lost cases and papers are nearly eliminatedWill allow electronic delivery of office action to customers in the futureAllows external customer access to applications via PAIR

Unpublished applications via Private PAIR to those authorizedPublished applications via Public PAIR

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Launching Public PAIR with Access to IFW

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Public PAIR Application Search Results

IFW Access

Click to order copies from OPR

Easy to read tabs showsearch options

App# and Title for reference

New Search always available

Print version available for every page

Correspondence Address and Attorney/Agent info

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USPTO

IFW Deployment

Prototype3 GAUs – December ‘02 to March ‘03

Production DeploymentPhase 1

July ‘03 through December ‘037 GAUs per weekTCs 1600, 1700, 2800 & 2900Majority of backfile applications have been scanned into IFW

Phase 2January ‘04 through August ‘04TCs 2100, 2600, 3600 & 3700

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USPTO

IFW History

> 1 Million Applications Scanned643,100 New

400,505 Backfile

>170,000,000 Pages Scanned

>500,000 applications made available through Public PAIR

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USPTO

Process: Newly Filed Application From Office of Initial Patent Examination (OIPE) to

the Art Unit…Paper Application comes into OIPE. Application is indexed and scanned into IFW

SPE assigned to that mailbox determines to whom the the Application should be assigned and forwards the message to the New Case Processing mailbox

The message is then forwarded to the 9999Assignment mailbox with the classification information in the text of the message

Application undergoes pre-exam formalities review

An IFW Message is generated and sent to the ExamClass mailbox

Supervisory Patent Examiner (SPE) assigned to that mailbox, opens the message, reviews the application, and determines the proper classification

Legal Instruments Examiner (LIE) dockets the Application in PALM and the Application appears on the Examiner’s Docket

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USPTO

Process: Follow-On Paper From OIPE to the Art Unit…

Paper comes into OIPE. Document is indexed and scanned into IFW

Fee sheet and other outgoing documents printed and sent for indexing and scanning

The LIE reviews the document in IFW, checks document code, checks fees, 1449/IDS, US References captured if necessary

An IFW auto-Message is generated upon scanning and sent to the LIE mailbox of the assigned examiner

Team Leader assigned to that mailbox, assigns the message to an LIE,

LIE performs the appropriate PALM transactions (if After Final response, Rule 312 amendment or other special document, a message is sent to the examiner’s examination mailbox)

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USPTO

Process: Examination…

Examiner selects application from PALM docket in eDAN

Office action is forwarded to mailing contractor and mailed to applicant

Office action is forwarded for review and signature (if necessary) and then routed to Technical Support Staff (TSS) for recording in PALM

Examiner reviews application, formulates search strategy and performs prior art search

Examiner reviews prior art, applies art to application and authors office action

Office action is indexed and scanned into IFW

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USPTO

Process: Post Examination…

Notice of Allowance is mailed in application and IFW message is sent to Office of Publications

Printer queries (if required) are handled by IFW messaging

IFW message sent to publications contractor that fee has been received

Application is exported to publication contractor

Issue fee is received from applicant and PTO85B is indexed and scanned

Patent grant prepared, published and mailed to applicant

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USPTO

Special Programs (SPRE) office in TC receives messages to process terminal disclaimers, petitions decided in TC, etc.

SPRE/Paralegal monitors SPRE mailbox (e.g., 1600SPRE) and assigns messages to appropriate reviewing personnel

Documents are reviewed electronically

Decision rendered and sent for indexing and scanning as appropriate

Create and send messages to other mailboxes for further action as appropriate

Technology Center Special Programs Office

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USPTO

Petitions

Messages for incoming petitions decided in Office of Petitions are routed to Pet.Receipt mailbox

Message assigned to Petitions Examiner’s mailbox

Petition reviewed electronically

Decision rendered and sent for indexing and scanning

Create and send messages to appropriate mailboxes for further action as appropriate

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USPTO

Board of Patent Appeals and Interferences (BPAI)

New appeals are messaged to the BPAI from the TC

BPAI receives messages from OIPE for all follow-on documents in cases on appeal

During and after appeal process, the BPAI sends messages to TC Special Process mailbox for continued processing

While in the jurisdiction of the BPAI, the TC cannot act on application

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USPTO

Filing SubmissionsAll incoming correspondence through single point of entry

Fax number for official correspondence: 703-872-9306Informal facsimiles may be directed to the TCs

Official facsimiles directed to the TCs will be re-routed to the official fax number

Few exceptions to single point of entry, such as:Issue fee payment (703-746-4000)Request for corrected filing receipt (703-746-9195)Request for express abandonment under 37 CFR 1.138 (c) (703-305-8568)Request for Customer No. or Customer No. Data change (866-271-9197 Electronic Business Center)Petition for foreign filing license (703-305-7658)Assignments (703-306-5995)Other exceptions: http://www.uspto.gov/web/offices/com/sol/og/patfaxs.htm

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USPTO

Filing SubmissionsHand carried correspondence is accepted at the customer window

220 20th Street SouthCustomer Window, Mail Stop _____Crystal Plaza 2 Lobby, Room 1B03Arlington, VA 22202

No longer accepted in the Technology Centers

Address mail sent via USPS to the USPTO address (Use mail stops) Mail Stop ______

Commissioner for PatentsP. O. Box 1450Alexandria, VA 22313-1450

Correspondence to be delivered by delivery services other than USPS (e.g. Fed Ex, UPS, DHL, etc. should be addressed to:

220 20th Street SouthCustomer Window, Mail Stop _____Crystal Plaza 2 Lobby, Room 1B03Arlington, VA 22202

Exceptions: correspondence for Maintenance Fee payments, Deposit Account Replenishments (see 1.25© (4)), and Licensing and Review (see CFR 5.1 (c) and 5.2 ©.

http://www.uspto.gov/web/offices/com/sol/og/patboxs.htm

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Tips for filing submissions in IFW

Clearly identify each document with the application number (or docket number)Clearly identify each document by typeSubmit each application part on a separate pageSubmit documents for multiple applications in separate envelopes

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Tips for filing submissions in IFW

Avoid bound documents, if possible (this means glued bindings)-documents should be fastened with binder clips or stapled No hole punches in paperDo not mix single and double sided documentsLetter size or A4 paper onlyAvoid highlighting and shadingAvoid gray scale, if possible

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USPTO

Proprietary submissions

No longer accepted in the TC Director’s officeHand-carry to the Customer Window is recommended

Clearly label as a “Trade Secret”, “Proprietary”, “Confidential” document or item or as an item or document “Subject to Protective Order” and mark with the phrase “Do Not Scan” Proprietary material is placed into an artifact (not scanned)Upon grant of petition under 37 CFR 1.59 to expunge the information, original material will be returned to applicants and artifact record deleted.

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Withdrawal from Issue

Petitions to withdraw from issue after payment of Issue fee

Prominently identify as a Special Procedure Submission on the top of the first page and indicate that the document is to be routed to Office of Petitions

Follow-up phone call to Office of Petitions

(703) 305-9285

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USPTO

Troubleshooting

Electronic Business Center (866) 217-9197Problems or questions regarding electronic images viewable in PAIRInability to view scanned images in PAIRRightFAX

Failure to receive RightFAX transmission receiptGet access to Private PAIR

Technology CenterMissing items from Office correspondenceCorrespondence viewable in IFW but not entered in PALM (allow for reasonable processing times)

PAIRPatent Application status and history information

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Thank you