Action:
In order to enhance patent quality, the USPTO is implementing an improved
Quality Assurance Program. One important component of the improved program
is expanding the quality review of work products, through a "second-pair-of-eyes"
program in
areas of identified need.
Background Information:
The USPTO recognizes a robust quality assurance program is critical to
maintaining the public's desired level of patent product quality. The public's
interest in quality has been repeatedly and strongly voiced.
Options Considered:
Option 1 - In March 2000, the USPTO established the "second pair of eyes"
review for business method patents in Class 705. It is a "universal" review
of all allowances in Class 705 with each allowance taking about one hour. The
purpose of this review is for the reviewer to quickly flag issues that
need further consideration by the examiner and/or the examiner's supervisor.
In fiscal year 2001, the "second pair of eyes" review in Class 705 resulted
in a reduction of the Class 705 reopening percentage by the Office of Patent
Quality Review (OPQR) to zero percent. For FY 2002, only one 705 application
was reopened as a result of review by the OPQR. The results of the "second
pair of eyes" reviews are used to develop training in Class 705.
The
USPTO will expand universal "second pair of eyes" reviews beyond allowances
in Class 705 to such advanced fields of technology as semiconductors, telecommunications,
and biotechnology.
Option
2 - The USPTO will expand universal "second pair of eyes" reviews beyond
allowances in Class 705 to other art areas with unacceptably high reopening
rates. Also, the effectiveness of "second pair of eyes" reviews at earlier
stages of the examination process will be evaluated. The results of
these early stage reviews will be used to check the quality of work products
during examination and to determine examiner-training needs.
USPTO Recommended
Course of Action:
Adopt Options 1 and 2 with a goal of implementing both in fiscal year 2003.
Each Technology Center (TC) will have "second set of eyes" review during
2003. While some of these TCs are focusing their reviews on a class or advanced field
of technology, others are experimenting with limited "second set of eyes" reviews within
a specific art unit or work group. Results of these programs will be analyzed and compared to determine best business practices.
Proof of Concept
The concept of "second set of eyes" review has already been proven through
its successful use with business method patent applications over the last
two years. During fiscal years 2001 and 2002, the OPQR reopened only one
business method application as a result of their reviews. The use of "second
pair of eyes" reviews will be expanded to other selected areas where needed
and in fields of emerging technologies which are closely scrutinized by
the public.
Implementation Schedule
| Work Breakdown Structure | Task Name | Start | Finish | Project Lead |
|---|
| 7 | Quality 1/Quality 3/Qualtiy5: P-17 - Expansion of Patent Application Work Product Reviews | 06/03/02 | 12/01/03 | A. MacDonald |
| 7.2 | Develop action plan for incorporating QR into TC (P-17) | 06/03/02 | 09/29/03 | |
| 7.2.1 | Obtain names of QR examiners and art examined (P-17) | 06/07/02 | 07/02/02 | |
| 7.2.2 | Notify TC to close all open QR cases (P-17) | 06/14/02 | 06/14/02 | |
| 7.2.3 | Develop QAS position description (P-17) | 06/06/02 | 06/06/02 | |
| 7.2.4 | Develop QAS PAP (P-17) | 06/03/02 | 06/03/02 | |
| 7.2.5 | Develop Administrator position description (P-17) | 06/03/02 | 09/30/02 | |
| 7.2.6 | Develop Administrator PAP (P-17) | 06/03/02 | 09/30/02 | |
| 7.2.7 | Select TC Lead QAS (P-17) | 07/01/02 | 08/02/02 | |
| 7.2.8 | Announce OPQR functions will be integrated into the TCs - notify employees (P-17) | 07/11/02 | 07/11/02 | |
| 7.2.9 | Notify POPA and NTEU 243 of QR incorporation into TCs (P-17) | 07/10/02 | 07/10/02 | |
| 7.2.11 | Notify D. Bertsch for planning space and equipment move for QR reviewers (P-17) | 06/17/02 | 06/17/02 | |
| 7.2.13 | Submit reassignment SF-52s to OHR (P-17) | 08/30/02 | 08/30/02 | |
| 7.2.14 | Transfer OPQR personnel to QAS positions (P-17) | 10/01/02 | 10/01/02 | |
| 7.2.15 | Expand OPQR Reviews (P-17) | 09/03/03 | 09/03/03 | |
| 7.2.16 | Announce new "Review QAS" positions (P-17) | 09/03/02 | 01/27/03 | |
| 7.2.17 | Panel the "Review QAS" positions (P-17) | 02/03/03 | 03/04/03 | |
| 7.2.18 | Interview and fill the "Review QAS" positions (P-17) | 03/07/03 | 05/29/03 | |
| 7.2.19 | Announce additional "Training QAS position (P-17) | 09/03/02 | 01/27/03 | |
| 7.2.20 | Panel the "Training QAS" positions (P-17) | 02/03/03 | 03/04/03 | |
| 7.2.21 | Interview and fill "Training QAS" positions (P-17) | 03/11/03 | 04/03/03 | |
| 7.2.22 | Training for managers, especially new QAS (P-17) | 04/04/03 | 09/29/03 | |
| 7.2.23 | Transfer current QAS positions to "Training QAS" positions (P-17) | 10/01/02 | 10/01/02 | |
| 7.2.24 | Transfer current SPREs to new "Special Program QAS" positions (P-17) | 10/01/02 | 10/01/02 | |
| 7.2.25 | Announce realignment of OPQR to Patents (P-17) | 07/10/02 | 07/10/02 | |
| 7.2.26 | Identify which positions and who will be reassigned where (P-17) | 07/08/02 | 07/10/02 | |
| 7.3 | Analyze customer responses on new quality review and integrate feedback into program (P-17) | 06/03/02 | 07/05/02 | |
| 7.4 | Finalize action plan for pilot program (P-17) | 06/03/02 | 08/14/02 | |
| 7.5 | Prepare OPQR for transition (P-17) | 06/17/02 | 09/13/02 | |
| 7.6 | Establish quality metrics (P-17) | 06/03/02 | 09/30/03 | |
| 7.6.1 | Allowance/IPR review form (P-17) | 06/03/02 | 01/02/03 | |
| 7.6.2 | X-case review form (P-17) | 06/03/02 | 01/02/03 | |
| 7.6.3 | Case review appeal process development (P-17) | 06/03/02 | 01/02/03 | |
| 7.6.4 | Statistical validity analysis of sampling (P-17) | 06/03/02 | 01/02/03 | |
| 7.6.5 | Establish FY03 quality targets (Reopenings) (P-17) | 06/03/02 | 01/02/03 | |
| 7.6.6 | Baselining IPR Metrics (P-17) | 10/01/02 | 09/30/03 | |
| 7.7 | Initiate pilot program by integrating quality review positions into TCs with highest error rates (P-17) | 03/03/03 | 09/30/03 | |
| 7.8 | Quality evaluations (P-17) | 01/02/03 | 09/30/03 | |
| 7.8.2 | Second quarter results (P-17) | 03/28/03 | 03/28/03 | |
| 7.8.3 | Perform workgroup IPRs (P-17) | 02/03/03 | 09/30/03 | |
| 7.8.4 | Second pair of eyes (P-17) | 03/05/03 | 08/29/03 | |
| 7.9 | Review results (P-17) | 10/01/03 | 10/31/03 | |
| 7.10 | Evaluate results and incorporate lessons learned (P-17) | 11/04/03 | 12/01/03 | |
| 7.11 | Define PALM requirements (P-17) | 06/03/02 | 08/27/02 | |
| 7.12 | Baseline PALM project (P-17) | 06/03/02 | 06/28/02 | |
| 7.13 | Enhance PALM (P-17) | 03/06/03 | 08/20/03 | |
| 7.14 | Complete implementation of PALM automation requirements for application work product reviews (P-17) | 08/22/03 | 08/22/03 | |
=online
business system 
=fees 
=forms
=help 
=laws/regulations 