Preface
This brief note is not legal advice and is for educational purposes only.
By now most individuals and professionals are using the USPTO Electronic Filing System – the EFS or sometimes called EFS-Web, for filing applications, documents, paying fees, etc.
Who can use EFS
You can use EFS either as a registered user or an unregistered user. A registered user has a customer number and a digital certificate. An unregistered user provides contact information before filing.
Both types of users can file the following documents:
| Accelerated Exam | Utility Patent Application |
| Design Patent Application | Utility Reissue |
| Design Reissue | U.S. National Stage under 35 USC 371 |
| International Application for filing in the US receiving office | Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(c)) |
| Provisional Patent Application | Petition to Make Special based on Age |
| Reexamination |
Only a registered user can file a Pre-Grant Publication under 37 CFR 1.211 to 1.221.
Quick Discussion
The EFS prefers documents to be in .pdf – Portable Document Format. There are many programs (often free) that can generate the PDF format required.
Note that the USPTO when you upload a PDF file checks it for acceptable form. So what is acceptable form and what are the typical problems encountered with PDF files?
Here you go:
- Size must be 8.5x11 inches or A4. Put in portrait mode or the USPTO will squish it. While the USPTO says it will accept 14"x14" it will squish it to 8.5"x11".
- Filenames should start with A-Z a-z 0-9 and end in .pdf
- The filename can use A-Z a-z 0-9 _ - . NO spaces but the file path can have spaces. The full name and path has a 100 character maximum limit.
- All fonts must be embedded in the PDF file.
- No security or passwords allowed in the PDF file.
- There is a 25MB limit per file and EFS can only validate 20 files at a time (a maximum of 60 documents can be uploaded per submission). This 1500MB limit might sound reasonable but the 25MB limit per file is a PITA with large references. You may have to split up your files and/or login multiple times to submit large files and references.
- There is a 100MB limit (more reasonable) for a sequence listing in .txt (text) format (ST.24 or ST.25) and it must be uploaded separate from other files.
Conclusion
-  There you have the basics.
