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
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
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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 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
- In-process Review Rate (IPR)
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
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