Enhanced Patent Quality Initiative Update PP… · 11 • To create a single, comprehensive form...

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Enhanced Patent Quality Initiative UpdatePPACNovember 19, 2015

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Opening Remarks on Patent QualityDrew HirshfeldCommissioner for Patents

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Enhanced Patent Quality Initiative UpdateCassandra SpyrouSenior Advisor to the Deputy Commissioner for Patent Quality

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Topics for Discussion• Background of the Enhanced Patent

Quality Initiative (EPQI)

• Evolving EPQI Programs

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Federal Register Notice• Federal Register Notice (February, 2015) outlined

the EPQI and requested comments

EPQI is built around three patent quality pillars:

o Excellence in Work Productso Excellence in Measuring Patent Qualityo Excellence in Customer Service

Began with six initial proposals, or ideas,to help enhance patent quality

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Comment Sources• Federal Register Notice

• Patent Quality Summit

• Examiner Forums/Feedback

• World Class Patent Quality Mailbox

• Roadshows/Roundtables

• Quality Chat Webinars

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Data AnalysisPillar 1• Topic Submission for

Case StudiesPillar 2• Clarity and Correctness

Data Capture (Master Review Form or MRF)

• Quality Metrics

Examiners’ Resources, Tools & Training

Pillar 1

• Automated Pre-ExaminationSearch Pilot

• STIC Awareness Campaign• Clarity of the Record Training• Post Grant OutcomesPillar 3• Interview Specialist

Changes to Process/Product

Pillar 1

• Clarity of the RecordPilot

Pillar 3• Reevaluate AFCP2.0 and

Pre-Appeal Conferences • Reevaluate QPIDS• Design Patent

Publication Quality

Evolving ProgramsFocused on three implementation areas:

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Case StudiesPillar 2• Clarity and

Correctness DataCapture (MasterReview Form or MRF)

• Quality Metrics

This program is a way for applicants to suggestsome general examination topics for case studiesto the Office of Patent Quality Assurance (OPQA).Case studies of proposed topics could includeanalysis of rejections, MPEP guidance, Officepolicy, etc. Any suggestion that includes aspecific application number or examiner data willnot be considered. Results of the case studieswill be used to enhance work product quality.

Topic Submission for Case Studies

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This program is highlighted by a single form(Master Review Form) to be used to collect datafrom various reviews done by OPQA andsupervisors in Patents Operations. Moreover,this review form will capture not onlycorrectness of rejections but also by clarityindicators as well.

Clarity and Correctness Data Capture




• Quality Metrics

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Master Review Form - Goals

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• To create a single, comprehensive form that canbe used by all areas of the Office when reviewingwork

• To collect information on the clarity andcorrectness of Office actions

• To establish an Office-wide review standard formore consistency in the measurement of quality

Master Review Form – Design

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• The MRF will allow reviewers to record information on:– Search– Omitted Rejections– Rejections Made (both correctness and clarity)– Reply to Applicant– Final Rejection– Reply to After-Final Response– Other Quality Related Items (such as allowable subject matter

and restrictions)

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Master Review Form – Implementation

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• To be piloted by OPQA reviewers and selectSPEs in the Technology Centers

• To be rolled out to all SPEs in the TechnologyCenters at a to-be-determined date

This program focuses on developing world-class, patent quality metrics using existing data,such as Quality Index Report (QIR) data, andnew data, such as MRF data. The metrics mustbe understandable and more representative ofthe quality indicators valued by ourstakeholders.

Quality MetricsData Analysis

Pillar 1• Topic Submission for



• Quality Metrics

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Quality Composite• In 2011, USPTO implemented

a Quality Composite in anattempt to consolidate thewide variety of quality metricsand generate a single indexthat could be used to quicklyassess progress towardsOffice goals through 2015.

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Quality Composite Items and Weights

Final Disposition

Review20%

In-Process Review

15%

QIR20%

FAOM Review10%

Search Review10%

External Survey

15%

Internal Survey

10%

Quality Metrics - Goals• Update the transactional (quality of process)

components of the QIR metric based on stakeholderfeedback

• Establish clarity metrics while maintaining correctnessmetrics (quality of work product

• Eliminate the weighted combination of the qualitymetrics to enhance understandability

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Examiners’ Resources, Tools & Training

Pillar 1


• STIC Awareness Campaign• Clarity of the Record Training• Post Grant OutcomesPillar 3

• Interview Specialist

This program is to make a pre-examinationsearch available automatically in everyapplication.

Automated Pre-Examination Search Pilot

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This program is to inform examinersabout the tools and resources forsearching prior art that are currentlyavailable in the Scientific and TechnicalInformation Center (STIC).

STIC Awareness CampaignExaminers’ Resources,

Tools & TrainingPillar 1



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This program is to develop and providetraining modules for examiners on effectiveways to improve all aspects of the clarity ofthe prosecution record.

Clarity of the Record TrainingExaminers’ Resources,




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This program is to develop a process forproviding post-grant outcomes fromsources, such as the Federal Circuit,District Courts, Patent Trial and AppealBoard (PTAB), and Central ReexaminationUnit (CRU), to the examiner of record andthe examiners of related applications.

Post Grant OutcomesExaminers’ Resources,




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This program is to provide an on-campuspoint of contact for interview issues whowill act as a resource on interview policy,assist remote examiners in interviews whenan on-campus presence is required, andprovide technical assistance to examinersand applicants.

Interview SpecialistExaminers’ Resources,




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Pillar 1




Publication Quality

This program is to develop best practices forenhancing the clarity of all aspects of theprosecution record and then study the impactof implementing these best practices duringexamination.

Clarity of the Record Pilot

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Clarity of Record Comments

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• Examiners and Applicants, together, can build acomplete and clear record of claim constructionthrough prosecution

• Applicants recognize that patent examination isnot an exact science

• Clearly articulated rejections are critical

Clarity of Record Pilot - Goal

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• Establish clarity of the record best practice• Determine what resources are needed to

implement these best practices• Determine the impact of these best practices

−Additional resources− Length of prosecution − Post-grant outcomes

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Clarity of Record Pilot – General Framework

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• Provide certain examiners with additional training andmentoring on using a set of best practices for clarity ofthe record− Claim Construction – Element Interpretation

− Enhanced Interview Summaries

− Detailed Reasons for Allowance for All Indications of Allowability

This program is to determine the feasibility ofmodifying the After Final Consideration Pilot(AFCP) 2.0, the Pre-Appeal Conference andthe Quick Path Information DisclosureStatement (QPIDS) programs to make themmore efficient.

Reevaluate AFCP2.0, Pre-appeal Conferences and QPIDS


Pillar 1




Publication Quality

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This program is to investigate the feasibility ofimproving the image quality of publisheddesign patents.

Design Patent Publication QualityChanges to

Process/ProductPillar 1




Publication Quality

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Questions

[email protected] Advisor to the Deputy Commissioner for Patent Quality

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Enhanced Patent Quality Initiative Update PP… · 11 • To create a single, comprehensive form...

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