Introduction to the USPTO

Andrew Faile,
Director
Technology Center 2600

Introduction to the USPTO

• Alexandria Campus
• USPTO Organizational Chart
• Application Flow
• Office of Initial Patent Examination (OIPE) to Office of Patent Publication (PUBS)
• Electronic filing with EFS Web
• Search and Examination
• Role of the Supervisory Patent Examiner (SPE)
• Examiner’s Performance Appraisal Plan (PAP) and Rating

“A country without a patent office is just a crab, and couldn’t travel any way but sideways or backways” - Mark Twain

• The campus in Alexandria, VA
• Five main buildings
• Madison
• Jefferson
• Remsen
• Knox
• Randolph
• South Tower – Crystal City
• OIPE
• PUBS
• PCT

Commissioner for Patents

Commissioner for Patents – John Doll
• Deputy Commissioner for Patent Examination Policy – John Love
• International Liaison Staff
• Manual of Patent Examining Procedures Staff
• Office of Patent Legal Administration
• Office of PCT Legal Administration
• Inventor Assistance Center
• PCT Legal Affairs
• PCT Special Programs
• Office of Petitions
• Deputy Commissioner for Patent Operations – Margaret Focarino
• Patent Examining Groups (Technology Centers)
• Design Patents
• Plant Patents
• Office of Patent Publication
• Deputy Commissioner for Patent Resources and Planning - Vacant
• Office of Patent Planning and Capacity Analysis
• Office of Patent Resource Administration
• Office of Search and Information Resources Administration
• Office of Patent Automation
• Office of Patent Classification
• Scientific and Technical Information Center

Application Flow

• Application flow from OIPE through PUBS
• Paper world versus electronic world

Process: Newly Filed Application From OIPE to the Technology Centers

Process: Follow-On Paper From OIPE to the Technology Centers

Process: Examination

Process: Post Examination

Electronic Filing

• EFS Web Overview

EFS-Web Benefits

• Improved Quality and Timeliness
• Speeds filing process by eliminating paper and delays caused by manual handling
• Provides immediate Acknowledgement Receipt for Customers and dramatically improves ability of practitioners to track status of applications through PAIR
• Automatic integration with USPTO internal systems
• Ability to file anytime and anywhere with an Internet connection
• Facilitates collaboration and workflow management
• Safe, simple, and secure

EFS-Web Functionality

• Online submission of:
• PDF files of patent applications and documents
• ASCII text files
• Verifies and validates PDF files and data before submission
• Online payment of patent application and document filling fees
• Allows application to be saved and submitted later
• Provides a valid acknowledgement receipt that is equivalent to the postcard receipt

What Can Be Filed?

• New Applications
• New Utility; Provisional; Design with Color Drawings; 371 National Stage
• International applications for filing in the U.S. Receiving Office
• Existing Applications
• Follow-on papers
• Pre-Grant Publication Requests under 37 CFR 1.211-1.221
• Petition to Accept Unintentionally Delayed Payment of Maintenance Fees in an Expired Patent (37 CFR 1.378 (c))
• Request for Continued Examination (RCE)
• Document Description List
• Nearly 200 document descriptions – Amendments, Petitions, Application Data Sheet, Information Disclosure Statement, PCT, Non-Patent Literature, Foreign References Cited, PG-Pubs, Board of Appeals documents, etc
• Numerous Fees
• Almost the complete Patent Fee Schedule

What Cannot be Filed Using EFS-Web?

• Credit Card Authorization Form - PTO-2038
• Assignments
• Maintenance Fees
• Certified Copies (Ribbon Copies)
• Secrecy Order Applications and/or Documents
• New Plant Applications or Color Plant Drawings
• Documents related to Registration Practice and Disciplinary Proceedings
• Reexamination and Reissue (this includes new and follow-on papers)
• Contested Cases at the Board of Appeal and Interferences
• Protests under 37 CFR 1.291
• Third party papers under 37 CFR 1.99
• Public use hearing papers under 37 CFR 1.292

EFS-Web Enhancements

• EFS-Web 1.1 released October 14, 2006
• Text files
• Sequence listings
• Mega tables
• Computer listings
• “Auto-Grant” Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(c))
• International application for filing in the US receiving office (PCT)

Future EFS-Web Enhancements

• Requested enhancements:
• Integration with document management systems
• Integration with assignments
• Fillable issue fee forms
• Fillable petition forms
• Automated provisional cover sheets
• Dual payment options (e.g., pay with credit card and allow for charges to deposit account on one screen)
• Additional copies of patents
• Dual Customer Number
• Admin PKI

How EFS-Web Works

Search and Examination Process

• Classification Search
• Text Search
• Sequence Search
• Examiner’s Search Tools
• EAST
• WEST
• NPL
• Foreign patents

Search and Examination Process

• New Case Docket
• Amended Case docket
• Specials
• Timeframes – PAP driven

Supervisory Patent Examiners

• SPEs:
• Manage an “art unit” of typically 13 –20 examiners
• Skill level from junior to senior examiners
• Responsible for the quality, productivity and timeliness of the examiners’ work
• Manage personnel issues – conduct and performance
• Work on special projects for the Technology Center and/or Corps

SPE Management Awards

• SPE Award Components
• PAP rating
• Quality (reopening rate)
• 4-month amended cases and BPAI decisions
• Leadership activities and initiatives
• Productivity
• Movement of New Applications (New Date Case Goals)

Examiner PAP and Rating

• Examiner’s Performance Appraisal Plan (PAP)
• Quality (dependent on grade level)
• Patent Examining Functions
• Action Taking
• Patentability Determination
• Productivity
• Timeliness
• Two month amendments
• After final amendments
• Specials
• Customer Service

Examiner PAP and Rating

• Examiners range from GS-5 to GS-14 (or GS-15)
• As examiners are promoted through the structure:
• Productivity increases
• Independently responsible for more quality elements
• Less oversight by the SPE/primary examiner
• Full and Partial Signatory Authority
• New examiner probationary addendum
• Federal Career Intern Program (FCIP)
• SPEs rate their examiners at the end of each FY
• Outstanding
• Commendable
• Fully Successful
• Marginal
• Unacceptable
• Measures for each element in the examiner PAP

Quality Assurance

• Office of Patent Quality Assurance (OPQA) role
• Reopening rate
• Corps target is 4%
• In-process Review Rate (IPR)
• By Technology Center

What Do We Measure?

• Production – Overall output (number of applications processed)
• Productivity – The measure of an examiner’s production during a given period of time
• Varies by technology - complex areas get more time
• Quality – Compliance with statutes, regulations & practice
• Reviewed throughout the process
• Timeliness
• How long before an application is examined?
• How long before an application completes all processing?

Why Do We Measure?

• USPTO is a performance-based organization
• Standards are precise
• Quality is critical
• Production is important
• Timeliness (turn-around time) is key