Earlier this month, the United States Patent and Trademark Office (USPTO) released an updated legal framework, effective September 11, 2025, governing its Patent Electronic System. Announced in the Federal Register as “Updated Legal Framework for Patent Electronic System,” this document sets new ground rules for Patent Center, which has replaced the legacy EFS-Web and PAIR systems.
The framework details requirements for electronic filing and viewing of patent applications and related documents, impacting the daily workflows of patent practitioners, inventors, and in-house counsel. It formalizes many recent shifts in USPTO procedure, emphasizing security, structured data, and expanded electronic capabilities.
Major Updates to Patent Center Procedures
The new framework discusses details about several significant changes that IP professionals should note. The updates refine everything from user access to the types of applications that can be filed electronically.
1. Mandatory User Registration and Stricter Access Controls
Perhaps the most significant change is the requirement that all users must now be registered to use the Patent Electronic System. This policy moves away from the previous practice that allowed unregistered users to file and view certain applications. To become a "registered user," a person must create a USPTO.gov account and complete an identity verification process. The USPTO specifies that users can verify their identity by mailing a paper form, using the online ID.me service, or another process designated by the Director.
This change extends to practitioner support staff, who must obtain their own credentials and be formally sponsored by a practitioner. The framework explicitly prohibits the sharing of credentials and clarifies that practitioners may not sponsor automation or Artificial Intelligence-based tools as support staff.
2. Clearer Rules for Third-Party Submissions
The framework reinforces rules around third-party papers, prohibiting their filing unless specifically authorized. When permitted, such as for preissuance submissions under 37 CFR § 1.290, filers must use the "special dedicated electronic interface" provided. This ensures that third-party information is not placed directly into the application file without proper screening. Improperly filed third-party papers, such as a protest submitted directly into an application after publication, will be removed.
3. Formalized Procedures for System Outages
The USPTO now has a clearer protocol for significant, unplanned outages of Patent Center. The Director may designate an "alternative electronic filing procedure" for new applications and other patent filings. If an alternative method is not specified during an outage, applicants should revert to previously established procedures for such events. Applications filed through an approved alternative electronic method will be considered filed electronically and will not incur the non-DOCX surcharge.
4. Expanded Electronic Filing for Plant Patents
In a welcome update for horticultural innovators, the framework officially adds plant patent applications to the list of filings accepted through the Patent Electronic System. As of May 24, 2024, applicants can file new plant applications, including color drawings or photographs, fees, and follow-on documents, entirely through Patent Center.
5. Continued Emphasis on DOCX and Standardized Sequence Listings
The framework reiterates the Office's push for structured data by clarifying that patent applications filed in DOCX format will be validated, with the system providing "useful feedback concerning the format of their applications." This process helps applicants correct errors early and avoid the non-DOCX surcharge.
For biotechnology applications, the rules for sequence listings have been standardized. Applications filed on or after July 1, 2022, that disclose nucleotide or amino acid sequences must contain a "Sequence Listing XML" file in accordance with 37 CFR §§ 1.831-1.835.
Considerations
These updates collectively represent a significant step in the USPTO's modernization efforts. While many changes promise greater efficiency and security, they also introduce new responsibilities for practitioners.
Potential Benefits
Enhanced Security: Mandatory registration and two-step authentication create a more secure filing environment, reducing the risk of unauthorized access to sensitive application data. The "no sharing" policy for credentials adds another layer of accountability.
Increased Efficiency: The validation feature for DOCX submissions allows for real-time error correction, potentially reducing Office Actions related to formatting. The expansion of electronic filing to plant patents streamlines the process for a specialized area of IP.
Greater Predictability: By formalizing procedures for system outages, the USPTO provides a clearer roadmap for practitioners during unexpected disruptions, reducing uncertainty.
Challenges and Risks
Procedural Hurdles: The mandatory registration and identity verification process, while beneficial for security, may create an administrative burden for law firms, especially when managing support staff and onboarding new personnel. Firms must diligently manage their sponsorship lists and remove individuals who are no longer employed or affiliated.
Compliance Responsibility: Practitioners are explicitly responsible for the actions of their sponsored support staff using Patent Center. This includes ensuring staff use their own credentials and do not violate the terms of the subscriber agreement. A practitioner must also "take reasonable steps to ensure compliance by each sponsored practitioner support individual with the requirements set forth in the subscriber agreement."
Third-Party Verification: Reliance on external services like ID.me for identity verification introduces a third party into the chain of trust. While a common practice, this requires filers to trust the security protocols of an outside vendor with their personal information.
Risk of Improper Filings: The specificity of the rules for third-party submissions means that an inadvertent error, such as failing to use the dedicated interface, could result in the submission being deemed improper and removed from the file. Practitioners must ensure their teams are trained on these precise procedural requirements.
Conclusion
The USPTO's updated legal framework for the Patent Electronic System solidifies the agency's commitment to a fully digital, secure, and standardized patent prosecution process.
The changes prioritize security through mandatory, verified registration and place a clear emphasis on structured data with the continued push for DOCX and XML-based filings.
For practitioners, these updates necessitate a review of internal workflows, particularly concerning user account management, staff training on new submission interfaces, and compliance with the strict credentialing rules.
While adapting to these new requirements will demand attention to detail, the long-term result should be a more predictable and efficient patent filing system for all users.
Disclaimer: This is provided for informational purposes only and does not constitute legal or financial advice. To the extent there are any opinions in this article, they are the author’s alone and do not represent the beliefs of his firm or clients. The strategies expressed are purely speculation based on publicly available information. The information expressed is subject to change at any time and should be checked for completeness, accuracy and current applicability. For advice, consult a suitably licensed attorney and/or patent professional.