Using EFS-Web to file a provisional

[cordovan66]

I have a provisional patent application ready in pdf format and am trying to upload it. I'm a little confused by the USPTO web site. Currently the whole application is in one pdf - including abstract, specifications, claims and drawings. I'm trying to decide between the following ways of uploading it:
1) upload the whole document  under the category "General Transmittal" and description "Transmittal of new application"
2) like 1) except also choose yes to "Does your PDF file contain multiple documents?" and then give page numbers for all the parts: abstract, specifications, claims and drawings. Is it okay to have multiple parts on the same page?
3) Split the pdf into separate pdfs - one for each part and upload them under the category "Application Part".

Which of the above options should I choose?

I'll also upload the cover sheet (form PTO/SB/16) along with either of the above options.
Does anything else need to be uploaded?
Thanks

[MYK]

I had trouble with EFS-Web not working properly when doing the multiple-documents thing (your option #2).  They may have fixed it by now, however.

So, if it's easy for you to split it into separate documents, I would suggest option #3.

[Robert K S]

The "multiple documents" feature has always worked fine for me.

The only problems I've ever had with EFS-Web are its frequent unscheduled emergency outages.  Only because of luck have they not yet kept me from filing something before deadline.  The system needs to be made much more reliable.  I wonder what its uptime percentage has been for 2009.  Probably right around 95%, which for most mission-critical applications would be unacceptably low.

[JimIvey]

I've also heard (in here somewhere, I think) that anything identified as "miscellaneous incoming letter (document?)" is reviewed by a person and properly categorized. 

The only downside is that your efilingAck thingy won't reflect that you actually filed an application.  You'll have to wait for the filing receipt for any proof.  And, for what it's worth, efilingAck has limited probative value as the filer, not the PTO, labels the contents.  So, it probably doesn't matter. 

I haven't had any problems with the multiple document thingy either, for what that's worth.

Lastly, it's not that hard to break up a document into multiple documents before uploading.  If you use a print-to-PDF driver of some sort, just print (to PDF) the pages you want to split out as a separate document.

Regards.

[DogDayPM 9er9er9er]

2) like 1) except also choose yes to "Does your PDF file contain multiple documents?" and then give page numbers for all the parts: abstract, specifications, claims and drawings. Is it okay to have multiple parts on the same page?
3) Split the pdf into separate pdfs - one for each part and upload them under the category "Application Part".
Thanks

Do either 2 or 3 for the reason Jim mentioned.  You want the pieces properly categorized by the application parts they are.  Like Robert, I've had no trouble with the multipart system (I do have a similar gripe about emergency downs).  Note you can not get the 3rd, 4th boxes to open on the multipart system until you've filled in the info for the first 2 boxes (throws some people off & they think it's not working).

NOTE you need to make sure specification ends on a page, then claims start on a new page, and abstract starts on its own page.  I.e., you can NOT have different types (spec-claim, or claim-abstract) on the same page.  This is true whether filing EFS-Web or on paper.


Payment?
Application Data Sheet?  (I don't think this is critical as long as your cover sheet lists each inventors' address.  If it does not, you'll draw a Notice to File Missing Parts).

EDIT:  If you've never used it before, note EFS-Web requires all fonts to be fully embedded in the document.  How are you making your PDF file?  If scanned image, it will be fine.  If using the Cute-PDF the patent office offers for download it should also be fine since it automatically embeds (used to anyway, a few years ago when I used it).  But if using Adobe, the default is unembedded fonts, so you'll need to go into the properties dialog box on Adobe and edit the default settings, telling it to embed all fonts.

[cordovan66]

Thanks for the responses.  More questions:

1) How can I tell if fonts are embedded in my pdf? I'm using pdflatex on windows to make my pdfs.

2) Do I need to fill out a pdf payment form even if paying online? Isn't there just a web screen to enter my payment details?

3) I'm going to keep all sections of my application on the same pdf but make sure no 2 section overlap the same page. I'll use their system to mark section start and end page numbers.

Thanks again

[DogDayPM 9er9er9er]

Thanks for the responses.  More questions:

1) How can I tell if fonts are embedded in my pdf? I'm using pdflatex on windows to make my pdfs.

2) Do I need to fill out a pdf payment form even if paying online? Isn't there just a web screen to enter my payment details?

3) I'm going to keep all sections of my application on the same pdf but make sure no 2 section overlap the same page. I'll use their system to mark section start and end page numbers.

Thanks again

1.  Take your current PDF spec (you know, the one you're going to re-do to make sure claims start on new page, abstract starts on new page) or any other PDF you've made using pdflatex and do a test upload on EFS.  Categorize it as general transmittal or whatever (you'll cancel out later so no harm no foul).  Click the "upload and validate" button.  Once you've uploaded the system will tell you whether there's any reason to reject the document and if so, what the reason is.  If it rejects it for non-embedded fonts, see if you can tell your PDF program to embed all fonts.  If still having problems, go to the PTO page and download the freebie from CutePDF.  http://www.uspto.gov/patents/process/file/efs/tools/tools_abxpdfwriter.jsp for the download-from page with instructions, or for the immediate download ftp://ftp.uspto.gov/pub/efs/ABXPDF_Writer.zip .

2.  You can indeed pay online and there's a page specifically for calculating fees and paying.  I pay using the online page with my account number but I also upload a fee permission sheet.  Unnecessary belt and suspenders based on what was maybe twice out of 600 times where they claimed we didn't pay online...  (We do check the account to make sure they're not double-charging based on the fee sheet).

3.  Correct.  By the way, have you checked the other administrivial requirements for your patent application?  (paragraphs 2 or 1.5 spacing, margins, font sizes/types allowed, etc?) 

[cordovan66]

Thanks DogDayPM. I did get the embedded fonts error and fixed it with the CutePDF print driver.

I'm afraid I was not aware of USPTO's formatting requirements. What are they? Thanks again.

[cordovan66]

One of my drawings is a color photograph. My invention relates to color imaging. I read in § 1.84 "Standards for drawings", though that color drawings require a petition that must first be approved. Is this also the case for provisional applications?

Should I just make the drawing monochrome? Is greyscale okay or does it need to be black and white?

[DogDayPM 9er9er9er]

Thanks DogDayPM. I did get the embedded fonts error and fixed it with the CutePDF print driver.

I'm afraid I was not aware of USPTO's formatting requirements. What are they? Thanks again.

http://www.uspto.gov/web/offices/pac/mpep/documents/appxr_1_52.htm#cfr37s1.52 for format requirements.

Saw your question about the color photo. Not sure what the right answer is.  If no one comes back here relatively soon with a better answer than that, I would call the patent office inventor assistance 800-786-9199 and ask them.  If you have to pay the hefty fee, then consider whether or to what extent the teaching supplied by the photo is damaged by making it monochrome.

[cordovan66]

Thanks again. One of the requirements on that formatting page says "Only a single column of text.". My document is two-column. Most patents in my field are two-column (for example patent 5652626). Surely the applications aren't made two-column by USPTO after submission, are they?

Also, according to http://www.uspto.gov/web/offices/pac/mpep/documents/appxr_1_84.htm
Drawings should have "scan target points (i.e., cross-hairs) printed on two cater-corner margin corners". Is this really necessary? What do these look like?

Thanks

[Robert K S]

ABXPDF really is a useful free tool and you can't go wrong by it.  I've never had a problem with it when converting documents or drawings to PDF.  It has never generated a document that rendered on the screen in unexpected ways or was rejected by the EFS-Web uploader for non-compliance.

Only problem is, it doesn't seem to work on Windows Vista or Windows 7.  XP fo-eva.

[cordovan66]

ABXPDF did work on my Vista machine. It's the 32 bit business version.

[MYK]

Thanks again. One of the requirements on that formatting page says "Only a single column of text.". My document is two-column. Most patents in my field are two-column (for example patent 5652626). Surely the applications aren't made two-column by USPTO after submission, are they?

Yes, the USPTO handles two-column formatting when they publish/issue.

Also, according to http://www.uspto.gov/web/offices/pac/mpep/documents/appxr_1_84.htm
Drawings should have "scan target points (i.e., cross-hairs) printed on two cater-corner margin corners". Is this really necessary? What do these look like?

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[Jonathan]

I don't think scan target points are necessary. I think they are just more for the processing of scanning in paper drawings, when drawings are USPS-mailed. Even then, I have never had a problem when they were not included, which was pretty much all the time.

I also don't think you will have any trouble with filing a provisional in double-column format. As it's a provisional, it won't be examined, as you know; besides some perfunctory initial review to see if you should get a filing receipt. When you do the utility application, then be sure to do single column per page.