Introduction to the USPTO Slide Set (HTML text version)

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

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