Attachment 14 - Quality Assurance of EFS-Web Submissions20190917.docx

Quality Assurance of EFS-Web Submissions

Background

1. The current Web-Based electronic filing system used by the USPTO is called EFS Web which allows an applicant to attach .pdf files and select the document description associated with the files. The system then converts the .pdf files to .tiff which are delivered to the official electronic file wrapper. The system also assigns a document code based on the document description selected by the applicant.

2. The document description selected by the applicant may be incorrect resulting in the assignment of incorrect document codes. The incorrect document codes must be identified and corrected.

Quality Assurance Review of Applicant Submissions

1. The Contractor shall perform a review of applicant submissions and provide feedback to the Government as detailed below.

a. The USPTO will send to the Contractor, electronically, a daily report entitled, EFS Web Load Report which includes all Web-based submissions delivered to the official electronic file wrapper on the previous day. The report will contain application serial number(s), document date(s), document code(s), page count(s), and package identification number(s).

b. The Contractor shall access the official electronic file wrapper and review the images of each submission listed in the EFS Web Load Report to ensure that the document code assigned by the system accurately describes the content of the document in official electronic file wrapper. If the document code does not accurately describe the content of the document, the Contractor shall correct the document code in the following manner:

i. If the document code is incorrect, the Contractor shall change the document code to the correct document code.

1. If the document code is changed to a high priority document code (see table below) then the contractor shall select the Messaging Option – “Any existing message associated with the original doc code will be deleted and new messages may be created and routed based on the newly assigned doc code”. No adhoc messaging is required or necessary.

2. If the document code is changed to a non-high priority document code then the contractor shall select the Messaging Option – “Do not make changes to messaging and continue with the doc code changes.” No adhoc messaging is required or necessary.

ii. The Contractor shall not change document codes when the applicant has provided a more specific code that is also correct. For example, the more specific document code 136A (authorization for extension of time – all replies) should not be changed to the more general code XT/ (extension of time). The more specific document code P.LET (miscellaneous incoming letter from applicant – IA) should not be changed to LET. (miscellaneous incoming letter).

c. The Contractor shall access the official electronic file wrapper and review the images of each submission listed in the EFS Web Load Report to ensure that multiple documents were not combined and submitted as a single document, and to ensure that single documents were not split and submitted as multiple documents.

i. If, upon review, it is determined that multiple documents were combined and submitted as one document, the Contractor shall split the documents and apply the correct document codes to the newly split documents.

1. The Contractor shall split documents using the split document function in the official electronic file wrapper.

ii. If, upon review, it is determined that single documents were split and submitted as multiple documents, the Contractor shall merge the documents and apply the correct single document code to the newly merged document.

1. The Contractor shall merge documents using the join document function in the official electronic file wrapper if the order of the multiple documents is correct.

2. The Contractor shall merge documents by printing multiple documents from EFS Web when the order of the multiple documents is not correct such as when a priority document is filed as SPEC, CLM, ABST, DRW etc.

a. The Contractor shall combine the multiple documents and index them using the appropriate single document code.

b. The Contractor shall scan the indexed single document.

c. The Contractor shall close the applicant submitted multiple documents in the official file wrapper after the newly merged single document is scanned.

The Contractor shall send a manual message in the official electronic file wrapper when the newly split or joined document(s) have a high priority document as the first document in the package. High priority documents include:

If PALM status >19, message 2900TCSpecialProcessing.

EABN

PUBSPGPubEABN

1600TSS01AE

1700TSS01AE

2100TSS01AE

2600TSS01AE

2800TSS01AE

2900TSS01AE

3600TSS01AE

3700TSS01AE

700TSS01AE

2100TSS01AE

2600TSS01AE

2800TSS01AE

2900TSS01AE

3600TSS01AE

3700TSS01AE

CSP-OIPC

CSP-OIPC

Note: The list of high priority document codes and messaging rules is subject to change.

Quality Assurance Review of the Official Electronic File Wrapper Images

1. The Contractor shall perform an image quality review of applicant submissions and provide feedback to the Government as detailed below.

a. The USPTO will send to the Contractor, electronically, a daily report entitled, EFS Web Load Report which includes all Web-based submissions delivered to the official electronic file wrapper on the previous day. The report will contain application serial number(s), document date(s), document code(s), page count(s), and package identification number(s). This same report is also used in step 1.a in the Quality Assurance Review of Applicant Submissions above.

b. The Contractor shall access the official electronic file wrapper and review the images of each submission listed in the EFS Web Load Report to ensure that the images are not missing content, are not jumbled or scrambled, do not contain pixilated text and are not oriented improperly.

c. When, upon review, a potential image problem is detected, the Contractor shall review the applicant’s submission in the EFS Web system to determine if the applicant’s submission is of higher quality than the image in the official electronic file wrapper.

i. If the applicant’s submission in the EFS Web system is of higher quality, then the Contractor shall print the documents from EFS Web and then index, scan and load the higher quality document to the official electronic file wrapper.

ii. If the applicant’s submission in the EFS Web system is not of higher quality, then the Contractor shall apply a Best Available Copy annotation as described in Section J, Attachment # 13, “Front End Processing (FEP) Manual”.

d. For any documents that have been printed from the EFS Web system, the Contractor shall close the poor quality document in the official electronic file wrapper and annotate the closed document “EFS-Web QC – Closed for rescan.” after the replacement images have been delivered to the official electronic file wrapper.

NOTE: The Contractor shall not print and rescan any document when the only problem is the improper rotation of an image in landscape view that is scanned as an image in portrait view.

NOTE: The Contractor shall not print and rescan any Specification, Claims, or Abstract documents in provisional applications when the problem is pixilation or orientation.

NOTE: The Contractor shall ensure foreign reference (FOR) and non-patent literature (NPL) documents are coded properly; however there are no additional requirements to review image quality unless an inquiry is made to Scanning Customer Support. Scanning Customer Support will review the document in EFS-Web and make any changes that will improve the document quality.

Special Instructions/Circumstances

1. The USPTO will provide a report to the Contractor listing PCT international applications for which the “Fees PDF and the “PCT101.PDF” have not been automatically loaded to the official electronic file wrapper. The Contractor shall open the zip file shown on the EFS Acknowledgement receipt (N417) for these applications, print the missing documents from the .zip file in the EFS Web System and index, scan and delivery them to the official electronic file wrapper. The USPTO expects the volume for this requirement to be approximately 10 per month.

2. The Contractor shall not review N417 documents except as stated in Item 1 of this section.

3. The Contractor shall research and correct problem images for EFS-Web filings that are reported to Scanning Customer Support.

4. The Contractor shall print the entire submission from the EFS Web System when an entire new application fails to automatically load to the official electronic file wrapper. The EFS Web team will provide the information necessary to identify these submissions. The Contractor shall follow work process 10 of this section to load drawings to SCORE if appropriate. The Contractor shall also determine if the application has been initialized in PALM and if not, shall initialize the application. Separate instructions are provided for initializing PCT and 371 national stage applications in PALM PreExam.

5. The Contractor shall follow the procedures in the SCORE technical reference for biotech applications where the applicant may submit, via EFS-Web, a transfer request document on which the applicant requests that a CRF previously submitted in a related application be transferred to the application at hand in lieu of a CRF diskette.

6. The Contractor shall print credit card authorization forms (PTO 2038) along with the N417 and the Fee Worksheet (WFEE) if available and forward them in paper to the fee processing contractor. The Contractor shall close the original document in the official electronic file wrapper.

7. The Contractor shall handle a single document that contains sensitive material as follows:

a. print the document

b. close the original document in the official electronic file wrapper

c. redact the sensitive information on the printed copy

d. index and scan the redacted document NOTE: Sensitive material is defined as any document that can be used to uniquely identify an individual or their financial records (credit card information, social security number etc.)

8. The Contractor shall handle large packages (generally defined as one containing more than 10 pages) that contain sensitive material throughout as follows:

a. print the entire package

b. create and artifact using artifact type X.

9. USPTO systems are designed to automatically load a copy of all drawings to SCORE for all patent applications that are coded as DRW.NONBW based on the applicants submission and create a SCORE placeholder sheet in the official electronic file wrapper. USPTO systems are designed to also automatically load a copy of all drawings to SCORE for design applications and coded as DRW based on the applicants submission and create a SCORE placeholder sheet in the official electronic file wrapper. If the applicant does not select the proper document description for design drawings or drawings that are not black and white line drawings, the Contractor shall use the EFS-Web PDF to create a PDF of the drawings and use the SCORE load module to load the drawings into SCORE. The Contractor shall use the PDF file name used by the applicant unless it is necessary to create a drawing only PDF. If the Contractor creates a drawing only PDF, append “_QC” to the end of the file name. For example “My_great_idea.PDF should be named My_great_idea_QC.PDF.

10. The Contractor shall use the document code OATH for any combination assignment/inventor oath when the box on the form is checked directing the USPTO to use the document for both Oath and Assignment purposes.

a. Combination assignment/inventor oath forms with box checked shall receive the document code OATH.

b. All assignment documents filed online shall be printed and sent to the Assignment branch with receipt date stamp applied.

11. The Contractor shall receive notification from the USPTO that an applicant may have filed documents via EFS Web that are not the correct PDF file type resulting in USPTO systems not being able to automatically convert them to TIFF files and load them to the official electronic file wrapper. For example, an applicant may submit the application specification as a TXT file that is automatically loaded by EFS into SCORE as a table. The Contractor shall print the documents from EFS-Web, and index and scan them into official electronic file wrapper using the appropriate document codes. The Contractor shall create a Patent Automation Support Manager (PASM) ticket to SCORE requesting removal of the documents that should not be in SCORE.

12. The Contractor shall provide feedback documentation to the government representative for EFS regarding the corrections that have been made. The documentation shall include the elements from the EFS Web Load report, and shall include a “Remarks” column that describes the correction made and a category indicator for one of the 13 defined error categories shown in Table C.4.4-1 of the SOW.

13. The Contractor shall complete review and correction by noon of the second workday (business day) following receipt of the report. For example, the report received on Monday shall be completed by noon on Wednesday. The report received on Thursday shall be completed by noon on Monday. The Contractor shall provide aforementioned feedback documentation of review and correction to the government representative for review by 10:00 a.m. of the morning following the due date.