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2235    Record Systems [R-11.2013]

  PALM — MONITORING SYSTEMS

The Patent Application Locating and Monitoring (PALM) system is used to support the reexamination process. The sections below delineate PALM related activities.

  • (A) Reexamination File Data on PALM — The routine PALM retrieval transactions are used to obtain data on reexamination files. From the USPTO Intranet site http://ptoweb/ptointranet/index.htm, Office staff can click on “PALM” and then “General Information” which opens the PALM INTRANET General Information Display. From here, enter the patent number in the box labeled Patent #. Then click on “Search” and when the “Patent Number Information” appears, click on “Continuity Data” to obtain the reexamination number.
  • (B) Reexamination e-File — The papers of a reexamination proceeding may be viewed on IFW. PALM provides information for the reexamination proceeding as to the patent owner and requester, contents, status, and related Office proceedings (applications, patents and reexamination proceedings). Some of the data entry for reexamination in PALM is different from that of a regular patent application. There are also differences in the status codes – all reexamination proceedings have status codes in the “400” range (there are some in the “800” range for some inter partes documents and actions), while patent applications have status codes ranging from “020” to over “100.”
  • (C) Patent File Location Control for Patents Not Available on IFW, i.e., Available Only in Paper File — The movement of paper patent files related to requests for reexamination throughout the Office is monitored by the PALM system in the normal fashion. The patent file will be charged to the examiner assigned the reexamination file and will be kept in the examiner’s office until the proceeding is concluded. After the reexamination proceeding has been concluded, the patent file should be forwarded with the reexamination file to the Office of Patent Legal Administration for review (see MPEP § 2289) and then to the Office of Data Management. The Office of Data Management will forward the patent file to the Record Room after printing of the certificate.
  • (D) Reporting Events to PALM — The PALM system is used to monitor major events that take place in processing reexamination proceedings. During initial processing all major pre-ex parte examination events are reported. During the ex parte phase, the mailing of examiner’s actions are reported as well as owner’s responses thereto. The Central Reexamination Unit is responsible for reporting these events using the reexamination icon and window initiated in the PALM EXPO program. The events that will be reported are as follows:
    • (1) Determination Mailed — Denial of request for reexamination.
    • (2) Determination Mailed — Grant of request for reexamination.
    • (3) Petition for reconsideration of determination received.
    • (4) Decision on petition mailed — Denied.
    • (5) Decision on petition mailed — Granted.
    • (6) Owner response to determination (owner’s statement) received.
    • (7) Requester response to determination (requester’s reply) received.
    • (8) The mailing of all examiner actions.
    • (9) The receipt of owner’s responses to examiner’s actions and Office receipt date.

    Each of these events, as well as additional events reported by the Reexamination Preprocessing Unit will be permanently recorded and displayed in the “Contents” portion of PALM. In addition, status representative of these events will also be displayed.

  • (E) Status Reports — Various weekly reports can be generated for the event reporting discussed above. The primary purpose of these computer outputs is to assure that reexaminations are, in fact, processed with “special dispatch.”
    • (1) PALM Reports — A number of automated reports generated from the PALM system are provided to the TCs at the beginning of each week. These reports serve to indicate to the TCs when certain deadlines are approaching. Each report is subdivided by working group and lists the requests in control number sequence. The following reports have been identified.
    • (2) Requests Not Yet Received in CRU — This report serves to indicate to the CRU those requests assigned to it for which preprocessing has not been completed and which have not yet been received in the TC. This report provides an indicator of future workload as well as identifying potential, problem stragglers.
    • (3) Requests Not Yet Assigned to an Examiner — This report serves to highlight those requests which have not been assigned to an examiner by the 6th week since their filing. Requests appearing on this report should be located and docketed immediately.
    • (4) Requests Which Should Be Taken Up for Determination — This report lists those requests which have been assigned to an examiner and in which no determination has been mailed and the 6th week since their filing is past. Requests on this report should be taken up for determination by the examiner.
    • (5) Requests for Which Determinations Should be Prepared — This report lists those requests which have been assigned to an examiner and in which no determination has been mailed and the 2nd month since their filing is past. Determinations for requests on this report should be in the final stages of preparation.
    • (6) *Requests for Which Determinations Should Have Been Mailed — This report lists those requests which have been assigned to an examiner and in which no determination has been mailed and the 10th week since their filing is past. Determinations for requests on this report should be mailed immediately.
    • (7) *Overdue Determinations — This report lists those requests in which no determination has been mailed and the 3rd month since their filing is past. This report should always be zero.
    • (8) Overdue Petitions for Reconsideration of a Denial — This report lists those requests in which the determination denied reexamination and no petition has been received and 6 weeks have passed since the determination was mailed. Reexamination proceedings on this report should be concluded.
    • (9) Overdue Owner Responses to Determinations — This report lists those requests in which the determination ordered reexamination and the owner has not filed a response and 10 weeks have passed since the mailing of the determination. These requests should be taken up for immediate ex parte action by the examiner.
    • (10) Overdue Requester Responses to Statements — This report lists those requests in which a proper OWNER statement was received and NO requester reply has been received and 10 weeks have passed since the receipt of the owner response. These requests should be taken up for immediate action.
    • (11) *Overdue First Ex Parte Actions — This report lists those requests in which reexamination has been ordered and a first action has not been mailed and 6 weeks have passed since the request became available for ex parte prosecution. These requests should be taken up for immediate action by the examiner.
    • (12) *Overdue Action or Examiner’s Answer — This report lists those reexaminations which are up for second or subsequent action by the examiner and no such action has been mailed and 2 months have passed since the filing of an owner response to a previous action.
    • (13) *Overdue Advisory Action — This report lists those reexaminations which are up for action by the examiner and no such action has been mailed and 1 month has passed since the filing of an owner response to a previous final action.
    • (14) *Overdue Owner Response — This report lists those requests in which there has been an action rendered and 4 months have passed without an owner response.
    • (15) *Overdue Certificates — This report lists those requests in which a Notice of Intent to Issue Ex Parte Reexamination Certificate has been mailed and 3 months have passed since its mailing and no issue date has been assigned.
    • (16) *Requests With Prolonged Prosecution — This report lists pending requests which have not matured into a certificate and 15 months have passed since the date of filing.

    *Asterisk items require immediate action and follow-up, if appropriate.

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Last Modified: 03/27/2014 10:10:34