| PAIR, EFS-Web, Electronic Submission |
Referenced Items (340, 341, 342, 343, 344, 345, 346, 347, 348, 349, 350, 351, 352, 353, 354, 355, 356, 357, 358, 359, 360, 361, 362, 363) |
(341) Authentication Changes for Registered Users of EFS-Web and Private PAIR
I. Summary
The United States Patent and Trademark Office (USPTO) is implementing a
new authentication method for registered users of the USPTO's electronic
filing system, EFS-Web, and Private Patent Application Information
Retrieval (PAIR) system. The new authentication method involves a two-step
process for logging in to both EFS-Web and Private PAIR and provides a
number of benefits to users including enhanced security. All registered
users of EFS-Web and Private PAIR, including registered patent
practitioners, limited recognition patent practitioners, pro se inventors,
and the support staff of these practitioners, will need to have a USPTO.gov
account. Users who do not currently have a USPTO.gov account should take
steps now to obtain an account by visiting
https://www.uspto.gov/AuthenticationChange and following the instructions
under the "Create a USPTO.gov Account" section.
Since October 2018, registered patent practitioners, limited recognition
patent practitioners, and pro se inventors who currently have a Public Key
Infrastructure (PKI) certificate (also known as digital certificates, EPF
files, and/or certificates) have been able to link their PKI certificates
to their USPTO.gov account. As of November 1, 2018, patent practitioners
are able to sponsor support staff to work on their behalf. Use of PKI
certificates may no longer be available after December 31, 2018. The new
authentication method utilizes USPTO.gov accounts plus a temporary
authentication code delivered by either email, phone call, or mobile device
application. This authentication method also will be used in Patent Center,
which is the next generation tool that will replace EFS-Web and PAIR and is
anticipated to be available in 2020.
II. Background
Currently, EFS-Web and Private PAIR provide applicants secure
authenticated access to electronically file and view their patent
application information through the use of public key cryptography
mechanisms (PKI certificates) that provide authentication. The USPTO has
used PKI technology to facilitate secure access to electronic patent filing
and application management since 2006.
Under the PKI Subscriber Agreement and the rules and policies of the
USPTO including the Legal Framework for EFS-Web, PKI certificate holders
may designate more than one employee to use their PKI certificate under the
direction and control of the PKI certificate holder. The PKI Subscriber
Agreement is available on the USPTO website at:
https://www.uspto.gov/sites/default/files/patents/process/status/private_
pair/PKI_Subscriber_Agreement.pdf.
In 2016, the USPTO determined that replacement of PKI technology would
be needed. Therefore, the USPTO is updating the authentication method for
both EFS-Web Registered and Private PAIR. The new authentication method
requires every user to have their own account, including support staff.
Under the new authentication method, users are not permitted to share their
credentials with other individuals.
III. Details of the Updated Authentication Method
The new authentication method being implemented in 2018 will replace PKI
technology and provide the following benefits to users:
* Eliminates shared credentials: practitioners no longer have to
share, and will no longer be permitted to share, accounts with
support staff, who will have their own.
* Modernizes security process with two-step authentication: username/
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password plus a temporary authentication code delivered by either
email, phone call or mobile device.
* Saves time by granting access to multiple USPTO systems with one
consolidated sign-in.
* Facilitates USPTO's compliance with the Federal Information Security
Management Act (FISMA) framework and National Institute of Standards
and Technology (NIST) guidelines.
* Helps resolve browser compatibility issues.
* Gives users access to EFS-Web and Private PAIR until the planned
full release of Patent Center in 2020.
The updated authentication method requires two steps and impacts all
EFS-Web Registered and Private PAIR users. In addition, support staff
(e.g., paralegals, docket clerks, office administrators, etc.) are impacted
by this change. All users will need to obtain their own USPTO.gov account,
which consists of a username (email address) and password. This will be
used as the first step to log into EFS-Web Registered and Private PAIR. The
USPTO's Financial Manager system currently uses this method of
authentication. Users who do not currently have a USPTO.gov account should
take steps now to obtain an account.
In order to establish the second step, users will need to go into their
USPTO.gov settings to opt into using two-step authentication. The second
step will provide an additional verification channel, consistent with the
NIST Digital Identity Guidelines, to authenticate the user. For example,
the user may choose to receive an email or phone call which will provide a
6-digit code that is to be entered along with their USPTO.gov password.
Alternately, users may download a free authenticator app on their mobile
phone to provide the additional secure verification. Instructions regarding
two-step authentication is posted at the USPTO website at:
https://www.uspto.gov/learning-and-resources/account-faqs.
Once the user authenticates using the second step, the user has the
option to select a checkbox so that only the first step is required to
authenticate back into the systems within a 24-hour period, using the same
computer.
Patent Electronic System Subscriber Agreement
Users will need to subscribe to terms of use for access to the USPTO
systems. The Patent Electronic System Subscriber Agreement will be posted
on the USPTO website at: https://www.uspto.gov/AuthenticationChange. This
subscriber agreement is considered a modification of the PKI subscriber
agreement and continued use of the system will constitute agreement to the
Patent Electronic System Subscriber Agreement.
The current Legal Framework for EFS-Web is published in the Manual of
Patent Examining Procedure, Rev. 08.2017, Jan. 2018 (referred to herein as
"MPEP") § 502.05. It will be revised in accordance with this notice. The
revised version will be posted on the USPTO Web site and incorporated into
a future revision of the MPEP.
PKI Migration Tool
In October 2018, the USPTO released a migration tool that allows current
PKI certificate holders to link customer numbers associated with their PKI
certificate to their USPTO.gov account. As described above, the USPTO.gov
account will serve as the first step to log into EFS-Web Registered and
Private PAIR. The migration tool is exclusively authorized for use by
practitioners and independent inventors who hold a current PKI certificate.
Other individuals such as support staff are not authorized to use the
migration tool. The use of the migration tool to link a PKI certificate to
a USPTO.gov account can only occur once. After the migration is complete,
current PKI certificate holders will be able to access EFS-Web Registered
and Private PAIR using their new credentials. Although not recommended, PKI
certificates may still be used after the migration up until the
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certificates are officially retired. Support staff will need to continue to
use the shared PKI certificate to access EFS-Web Registered and Private
PAIR until they are sponsored using the sponsorship tool discussed below.
Sponsorship Tool
On November 1, 2018, the USPTO released a sponsorship tool that allows
practitioners to grant or remove sponsorship for support staff individuals
(under the direction and control of sponsoring practitioners) to work on
their behalf. The support staff individual must have already created a
USPTO.gov account in order to be sponsored by a practitioner. After the
sponsorship is complete, the support staff individual will be able to
access EFS-Web Registered and Private PAIR using their new credentials. The
support staff individual will have access to all applications associated
with the customer number(s) of the sponsoring practitioner. The support
staff individual must use their own credentials when accessing EFS-Web
Registered and Private PAIR and may not use the credentials (e.g., the
USPTO.gov account) of the practitioner or any other individual. Each
support staff member must have their own account; accounts may not be
shared among support staff members. For further details, please refer to
the Sponsorship Process section of the "Patent Electronic System Access
Document," available at https://www.uspto.gov/AuthenticationChange.
Identity Verification (Proofing)
The identity verification requirements for accessing USPTO systems are
designed in view of the Digital Identity Guidelines created by the National
Institute of Standards and Technology for use by government agencies in
fulfilling the requirements of the Federal Information Security Management
Act of 2002 (FISMA). The general contours of the identity proofing are as
follows. Prospective users of USPTO Patent Electronic System are required
to undergo an identity proofing and enrollment process whereby their
identity evidence and attributes are collected, uniquely resolved to a
single identity within a given population or context, then validated and
verified. Current PKI certificate holders who migrate using the USPTO's
migration tool according to the procedure set forth in the Patent
Electronic System Access Document will be considered to have met the
identity proofing requirements. The Patent Electronic System Access
Document also provides identity proofing procedures for new practitioners
and inventors.
Each practitioner will be responsible for proofing the identity of the
person being sponsored. The sole objective of the identity proofing is to
ensure the user of the sponsored account is who they claim to be. The two-
step identification provided by the USPTO.gov account and one-time code
provides assurance that the user is the owner of that account; however, it
is not designed to verify the real-world identity of that user. Each
sponsoring practitioner will establish a procedure for identity proofing
sponsored users and maintain a record of that procedure. In general, the
identity proofing consists of three steps: resolution of the prospective
sponsored user's identity based upon identity evidence, validation of the
evidence, and verification of the evidence. In the resolution step, each
sponsored user must present acceptable evidence of their identity to be
collected and stored by the practitioner. In the validation step, the
authenticity, accuracy, validity of the identity evidence is confirmed. In
the verification step, a linkage between the claimed identity and the real-
life existence of the prospective sponsored user is confirmed.
Practitioners will refer to the Verification Policy and Identity Proofing
of Sponsored Users section of the "Patent Electronic System Access
Document," available at https://www.uspto.gov/AuthenticationChange, for
details of this procedure.
IV. Contact Information
For information on how to create a USPTO.gov account and link your
existing PKI certificate, please visit:
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https://www.uspto.gov/AuthenticationChange. If you need assistance creating
your USPTO.gov account, please call the USPTO Contact Center (UCC) at
800-786-9199.
Questions or comments related to the new authentication method may be
sent to eMod@uspto.gov.
November 20, 2018 ANDREI IANCU
Under Secretary of Commerce for Intellectual Property and
Director of the United States Patent and Trademark Office
[1457 OG 133]